John E. Arrington

TLC GROUP INVESTMENT ADVISORS

State College, PA 16801

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CRD#: 2168202

Professional summary

John Eric Arrington is a registered financial advisor currently at TLC GROUP INVESTMENT ADVISORS, LLC located in State College, Pennsylvania and LEIGH BALDWIN & CO., LLC located in State College, Pennsylvania.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. John has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

2005: Yella Hammer LLC, Rental Real Estate owned jointly with spouse. Non investment related. aprox 3hrs/week during non market hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Eric Arrington's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 9, 2017 - Present

TLC GROUP INVESTMENT ADVISORS, LLC

Office #1: 270 Walker Drive Suite 200nw, State College, PA 16801

RIA

CRD#: 137814

State College, PA

Current

November 10, 2016 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 270 Walker Drive, State College, PA 16801

RIA

CRD#: 38751

State College, PA

Past

July 31, 2006 - February 24, 2011

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

STATE COLLEGE, PA

Past

September 29, 1999 - August 3, 2006

LPL FINANCIAL LLC

CRD#: 6413

STATE COLLEGE, PA

Past

December 23, 1994 - August 16, 1996

PNC BROKERAGE CORP

CRD#: 34671

PITTSBURGH, PA

Past

January 21, 1994 - December 23, 1994

PNC CAPITAL MARKETS LLC

CRD#: 15647

PITTSBURGH, PA

Past

August 15, 1991 - February 8, 1994

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TLC GROUP INVESTMENT ADVISORS, LLC

CRD#: 137814 / SEC#: 801-122544

RIA

Registered Investment Advisory firm - (10/22/2021 Approved)

Pennsylvania

Registered Investment Advisory firm - (10/25/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Pennsylvania
(1/1/2017)

IAR

Pennsylvania
(1/9/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/30/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/5/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/14/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/30/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TLC GROUP INVESTMENT ADVISORS, LLC

CRD#: 137814 / SEC#: 801-122544

RIA

Registered Investment Advisory firm - (10/22/2021 Approved)

Pennsylvania

Registered Investment Advisory firm - (10/25/2021 Terminated)

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Contact information

Main Address

270 Walker Drive Suite 200nw, State College, PA 16801

Mailing Address

Phone number

(814) 231-2265

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	348
AUM (Assets Under Management)	$ 146,945,782

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

John E. Arrington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Eric Arrington's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

CETERA INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

PNC BROKERAGE CORP

PNC CAPITAL MARKETS LLC

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

TLC GROUP INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2016

Series 63

Date: 10/5/1999

SIE

Date: 10/1/2018

Series 7

Date: 11/10/2016

Series 6

Date: 8/14/1991

Series 24

Date: 11/30/1999

FINRA

Current Firm

TLC GROUP INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TLC GROUP INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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