Unclaimed Profile

Joshua Richard Allen

TCP ASSET MANAGEMENT, LLC·UPPER ARLINGTON, Ohio

SIE, Series 7, Series 9, Series 10, Series 66CFP19 years registeredTCP ASSET MANAGEMENT, LLC

5000 HORIZONS DRIVE, UPPER ARLINGTON, OH 43220CRD# 5074710Firm CRD# 286037

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Joshua Richard Allen · UPPER ARLINGTON, OH

Registration

CRD #5074710 · TCP ASSET MANAGEMENT, LLC · 19 years registered

Brand Profile

Not yet started

Career History

TCP ASSET MANAGEMENT, LLC

Jan 2017 – present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

May 2022 – Dec 2023

WESTERVILLE, OH

TRENDENCY CAPITAL MANAGEMENT, LLC

Oct 2014 – Jan 2017

COLUMBUS, OH

OPPENHEIMER & CO. INC.

Dec 2013 – Oct 2014

CINCINNATI, OH

INVEST FINANCIAL CORPORATION

Oct 2012 – Dec 2013

WORTHINGTON, OH

LINCOLN FINANCIAL ADVISORS CORPORATION

Jul 2007 – Sep 2012

GALENA, OH

NATIONWIDE INVESTMENT ADVISORS, LLC

Feb 2007 – Jul 2007

COLUMBUS, OH

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 66

Registration record

First registered · February 5, 2007

Years registered · 19

Professional designation · CFP

Disclosure History

2016Employment Separation After Allegations

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

TCP ASSET MANAGEMENT, LLC

CRD 286037 · SEC 801-108836

AUM

$642M

Regulatory assets under management

Employees

3,634 client accounts

Services offered by TCP ASSET MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at TCP ASSET MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Joshua Richard Allen offer?

Joshua Richard Allen specializes in Financial Planning, Investment Management. Contact their office in UPPER ARLINGTON, Ohio for a consultation.

What are Joshua Richard Allen's credentials?

Joshua Richard Allen holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Joshua Richard Allen located?

Joshua Richard Allen is based in UPPER ARLINGTON, Ohio, working with TCP ASSET MANAGEMENT, LLC. Their office serves clients in the UPPER ARLINGTON metropolitan area and surrounding communities.

How does Joshua Richard Allen charge for services?

Joshua Richard Allen's firm is compensated through percentage of aum, hourly charges, subscription fees, other: solicitor's fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TCP ASSET MANAGEMENT, LLC?

TCP ASSET MANAGEMENT, LLC has approximately 35 employees and manages $642M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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