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Kathleen Dempsey Muniz

Trilogy Capital, Inc.

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About Kathleen Dempsey Muniz

Kathleen Muniz is an Investment Advisor Representative with Trilogy Capital, Inc. Kathleen has been in the industry since October 1997. Kathleen also has a Series 63, Series 6 and Series 65 licenses, as well as the SIE. Kathleen has been registered with Trilogy Capital, Inc. since February 2016. In addition, Kathleen has previously worked with NATIONAL PLANNING CORPORATION and SunAmerica Securities, Inc. Kathleen has 18,469 accounts under management. The advisor specializes in working with individuals and pension plans. Kathleen is registered with the states of Arizona, California, New York, Texas, Virginia and Washington.

Firm Information

Kathleen Muniz is currently registered with Trilogy Capital, Inc.. Trilogy Capital, Inc. is an investment advisor registered with the SEC and located in Irvine, CA. They manage approximately $1.89 billion in assets for a variety of clients, including individuals, corporations, charitable organizations, and pension and profit-sharing plans. They offer a range of services, including financial planning, portfolio management, and selection of other advisors. Trilogy Capital, Inc. also participates in wrap fee programs.
Trilogy Capital, Inc.

2601 MAIN STREET

IRVINE, CA 92614

$1.89B

Assets Under Management

35

Total Clients

68

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Kathleen Muniz’s Registration & Firm History

CA

01/05/2023 - Present

Trilogy Capital, Inc. (West Covina CA)

CA

04/06/1999 - 11/29/2017

NATIONAL PLANNING CORPORATION (WEST COVINA CA)

AZ

10/10/1997 - 03/31/1999

SUNAMERICA SECURITIES, INC. (PHOENIX AZ)

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Licenses & Designations

IA

Issued 02/09/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/20/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/07/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kathleen Dempsey Muniz.
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