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Detailed Report
RICHARD HIGBEE
RICK HIGBEE
CRD#: 4935043
IA
Investment Adviser
B
Broker
TRILOGY CAPITAL, INC.CRD#: 281597 980 Montecito Drive, Suite 108
Corona, CA 92879
LPL FINANCIAL LLCCRD#: 6413 980 MONTECITO DR #108
CORONA, CA 92879
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (1 year)BLPL FINANCIAL LLC (CRD# 6413)2017 - Present (7 years)IATRILOGY CAPITAL, INC. (CRD# 281597)2015 - Present (9 years)BNATIONAL PLANNING CORPORATION (CRD# 29604)2006 - 2017 (11 years)IALPL FINANCIAL LLC (CRD# 6413)2017 - 2018 (<1 year)IANATIONAL PLANNING CORPORATION ... (CRD# 29604)2010 - 2017 (7 years)
License(s)

State Registrations

B
Arizona 11/12/2024
B
Oregon 9/23/2024
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California 11/23/2015
B
South Carolina 11/12/2024
B
California 11/29/2017
IA
Texas 11/19/2021
B
Missouri 10/11/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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LPL FINANCIAL LLC (CRD#:6413)
980 MONTECITO DR #108, CORONA, CA 92879
CORONA, CA
Registered with this firm since 11/29/2017
IA
TRILOGY CAPITAL, INC. (CRD#:281597)
980 Montecito Drive, Suite 108, Corona, CA 92879
Registered with this firm since 11/23/2015
Previous Registration(s)
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 11/29/2017 - 04/17/2018 LPL FINANCIAL LLC (CRD#:6413) FORT MILL, SC
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 01/07/2010 - 11/29/2017 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) CORONA, CA
B
 08/29/2006 - 11/29/2017 NATIONAL PLANNING CORPORATION (CRD#:29604) CORONA, CA
IA
 06/16/2005 - 08/10/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) RIVERSIDE, CA
B
 05/30/2005 - 08/10/2006 UBS FINANCIAL SERVICES INC. (CRD#:8174) RIVERSIDE, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.