Our Firm
Affiliations

Trinity Private Equity Group and TPEG Securities LLC are affiliated entities that have common ownership and management. Trinity Private Equity Group also has a 15+ year history under its previous identity as Trinity Advisory Group, which started as a service-based financial advisory and merchant banking firm. TPEG Securities LLC is a registered broker-dealer and a member of FINRA and SIPC. TPEG Securities is licensed to sell or place securities from issuers in private placement transactions aimed at accredited and certain qualified investors under an exemption from registration known as Regulation D.

FINRA (Financial Industry Regulatory Authority)

FINRA is dedicated to investor protection and market integrity through effective and efficient regulation of the securities industry. They are not part of the government, but an independent, not-for-profit organization authorized by Congress to protect America’s investors by making sure the securities industry operates fairly and honestly. The do this by:

  1. Writing and enforcing rules governing the activities of more than 4,025 securities firms with approximately 638,880 brokers
  2. Examining firms for compliance with those rules
  3. Fostering market transparency
  4. Educating investors

FINRA’s independent regulation plays a critical role in America’s financial system—by enforcing high ethical standards, bringing the necessary resources and expertise to regulation and enhancing investor safeguards and market integrity—all at no cost to taxpayers.

Every investor in America relies on one thing: fair financial markets. That's why FINRA works every day to ensure that:

  1. Every investor receives the basic protections they deserve
  2. Anyone who sells a securities product has been tested, qualified and licensed
  3. Every securities product advertisement used is truthful, and not misleading
  4. Any securities product sold to an investor is suitable for that investor's needs
  5. Investors receive complete disclosure about the investment product before purchase

For more information: www.finra.org

SIPC (Securities Investor Protection Corporation)

SIPC was created under the Securities Investor Protection Act as a non-profit membership corporation. SIPC oversees the liquidation of member broker-dealers that close when the broker-dealer is bankrupt or in financial trouble, and customer assets are missing. In a liquidation under the Securities Investor Protection Act, SIPC and the court-appointed Trustee work to return customers’ securities and cash as quickly as possible. Within limits, SIPC expedites the return of missing customer property by protecting each customer up to $500,000 for securities and cash (including a $250,000 limit for cash only).

SIPC is an important part of the overall system of investor protection in the United States. While a number of federal and state securities agencies and self-regulatory organizations deal with cases of investment fraud, SIPC's focus is both different and narrow: restoring customer cash and securities left in the hands of bankrupt or otherwise financially troubled brokerage firms. For more information: www.sipc.org

The CFA Institute

The CFA Institute leads the investment profession globally by setting the highest standard of ethics, education, professional excellence. For more information: www.cfainstitute.org

ACG (Association of Corporate Growth)

ACG is the premier professional organization focused on corporate growth, corporate development, and mergers and acquisitions. For more information: www.acg.org

Southlake Executive Forum

The Forum represents a diverse group of business owners, leaders and community minded residents who either live or work within Southlake, Texas.

The principle focus of this expanding organization is to keep members appraised of what’s going on within the City of Southlake and Carroll Independent School District as well as local and state governmental activities. With an ever increasing sense of community, membership benefits include monthly breakfast meetings featuring key note speakers on topics of current and future interest to our members. For more information: www.southlakeexecutiveforum.com

TIE (The Indus Entrepreneur)

TIE’s mission is to foster entrepreneurship globally through mentoring, networking, education, incubating, and funding. Dedicated to the virtuous cycle of wealth creation and giving back to the community, TIE’s focus is on generating and nurturing our next generation of entrepreneurs. For more information: www.tie.org