Derek J. Kesig

TCP ASSET MANAGEMENT

UPPER ARLINGTON, OH 43220

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CRD#: 2771340

Professional summary

Derek Joseph Kesig is a registered financial advisor currently at TCP ASSET MANAGEMENT, LLC located in Upper Arlington, Ohio and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Aiken, South Carolina.

Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Derek has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

1.) DEREK KESIG - AGENT/DIRECTOR OF WEALTH MANAGEMENT - NON-VARIABLE INSURANCE - COLUMBUS, OH - SINCE 07/2018 - INVESTMENT RELATED 2.) TCP ASSET MANAGEMENT - WEALTH ADVISOR - DBA NAME FOR MARKETING PURPOSES ONLY - COLUMBUS, OH - SINCE 07/2018 - INVESTMENT RELAED 3.) WJR46 LLC - OWNER - VACATION PROPERTY - WAVERLY, OH - SINCE 05/2018 - NOT INVESTMENT RELATED 4.) TCP ASSET MANAGMENT - WEALTH ADVISOR - REGISTERED INVESTMENT ADVISOR - COLUMBUS, OH - SINCE 07/2018 - INVESTMENT RELATED 5.) DELAWARE TOWNSHIP - ZONING BOARD MEMBER - COMMUNITY, CIVIC OR CHARITABLE BOARD MEMBER OR OFFICER - DELAWARE, OH - SINCE 01/2024 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Joseph Kesig'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

November 1, 2019 - Present

TCP ASSET MANAGEMENT, LLC

Office #1: 5000 Horizons Drive, Upper Arlington, OH 43220

RIA

CRD#: 286037

UPPER ARLINGTON, OH

Current

October 31, 2019 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #2: 5000 Horizons Drive, Upper Arlington, OH 43220

RIA

CRD#: 20804

Aiken, SC

Past

March 25, 2017 - November 1, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

DUBLIN, OH

Past

March 25, 2017 - November 1, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

DUBLIN, OH

Past

June 5, 2006 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

DUBLIN, OH

Past

November 18, 1998 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

November 18, 1998 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DUBLIN, OH

Past

September 4, 1996 - November 25, 1998

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

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".

TCP ASSET MANAGEMENT, LLC

TCP ASSET MANAGEMENT, LLC | TRENDENCY CAPITAL PARTNERS, LLC

CRD#: 286037 / SEC#: 801-108836

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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

California
(8/28/2020)

Florida
(10/31/2019)

Georgia
(10/31/2019)

Indiana
(10/31/2019)

Massachusetts
(8/1/2023)

Michigan
(10/31/2019)

North Carolina
(8/12/2021)

Ohio
(10/31/2019)

IAR

Ohio
(11/1/2019)

South Carolina
(1/19/2021)

IAR

South Carolina
(1/26/2021)

Virginia
(4/27/2021)

Washington
(10/14/2020)

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 65

Date: 1/15/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/22/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/3/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TCP ASSET MANAGEMENT, LLC

TCP ASSET MANAGEMENT, LLC | TRENDENCY CAPITAL PARTNERS, LLC

CRD#: 286037 / SEC#: 801-108836

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

5000 Horizons Drive, Upper Arlington, OH 43220

Mailing Address

Phone number

(614) 761-9378

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TCP ASSET MANAGMENT, LLC FIRM BROCHURE (10/10/2025)

Regulatory assets under management

Total Number of Accounts	3,930
AUM (Assets Under Management)	$ 822,130,691

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.

Contact information

xxxxx@xxxx.xxx

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Derek J. Kesig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek Joseph Kesig's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

Primary Firm SEC Registration

TCP ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/15/2021

Series 63

Date: 10/22/1998

SIE

Date: 10/1/2018

Series 6

Date: 9/3/1996

FINRA

Current Firm

TCP ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TCP ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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