Unclaimed Profile

Phillip Joseph Susi

TCP ASSET MANAGEMENT, LLC·UPPER ARLINGTON, Ohio

SIE, Series 7, Series 6618 years registeredTCP ASSET MANAGEMENT, LLC

5000 HORIZONS DRIVE, UPPER ARLINGTON, OH 43220CRD# 5109197Firm CRD# 286037

Profile Verification

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

Identity

Phillip Joseph Susi · UPPER ARLINGTON, OH

Registration

CRD #5109197 · TCP ASSET MANAGEMENT, LLC · 18 years registered

Brand Profile

Not yet started

Career History

TCP ASSET MANAGEMENT, LLC

Jan 2017 – present

TRENDENCY CAPITAL MANAGEMENT, LLC

Oct 2014 – Jan 2017

COLUMBUS, OH

OPPENHEIMER & CO. INC.

Aug 2013 – Oct 2014

CINCINNATI, OH

INVEST FINANCIAL CORPORATION

Jul 2011 – Aug 2013

WORTHINGTON, OH

RAYMOND JAMES FINANCIAL SERVICES

Jun 2008 – Jul 2008

LANCASTER, OH

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 66

Registration record

First registered · June 13, 2008

Years registered · 18

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 Phillip Joseph Susi offer?

Phillip Joseph Susi specializes in Financial Planning, Investment Management. Contact their office in UPPER ARLINGTON, Ohio for a consultation.

What are Phillip Joseph Susi's credentials?

Phillip Joseph Susi is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Phillip Joseph Susi located?

Phillip Joseph Susi 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 Phillip Joseph Susi charge for services?

Phillip Joseph Susi'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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