Scott J. Thomas

TCP ASSET MANAGEMENT

UPPER ARLINGTON, OH 43220

Some features on this profile are disabled

CRD#: 4177526

Professional summary

Scott Joseph Thomas, who also goes by Scott Thomas, 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 Upper Arlington, Ohio.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Scott has worked at 5 firms and has passed the Series 66, Series 65, Series 7TO, SIE, Series 7 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Scott Thomas

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.) TCP ASSET MANAGEMENT - PORTFOLIO MANAGER - REGISTERED INVESTMENT ADVISOR - COLUMBUS, OH - SINCE 05/2022 - INVESTMENT RELATED 2.) CHAMPION INSURANCE - AGENT - SECTION 125 CAFETERIA PLANS - COLUMBUS, OH - SINCE 01/2023 - INVESTMENT RELATED 3.) SCOTT THOMAS - DRIVER - RIDE SHARE - COLUMBUS, OH - SINCE 04/2023 - NOT INVESTMENT RELATED 4.) TCP ASSET MANAGEMENT - N/A - DBA NAME FOR MARKETING PURPOSES ONLY - COLUMBUS, OH - SINCE 05/2022 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Joseph Thomas'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

May 6, 2022 - Present

TCP ASSET MANAGEMENT, LLC

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

RIA

CRD#: 286037

UPPER ARLINGTON, OH

Current

May 3, 2022 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

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

RIA

CRD#: 20804

UPPER ARLINGTON, OH

Past

September 11, 2020 - May 20, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

COLUMBUS, OH

Past

May 30, 2020 - May 20, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

COLUMBUS, OH

Past

November 24, 2003 - December 31, 2005

JPMORGAN ASSET MANAGEMENT

RIA

CRD#: 107247

COLUMBUS, OH

Past

June 23, 2000 - April 8, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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
(2/17/2023)

Florida
(5/3/2022)

Georgia
(5/3/2022)

Maryland
(5/3/2022)

North Carolina
(5/3/2022)

Ohio
(5/3/2022)

IAR

Ohio
(5/6/2022)

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: 6/9/2020

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/13/2003

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/30/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/11/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/20/2000

Financial and Operations Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Andrew Lehman

INSPIRE ADVISORS, LLC

IAR

Columbus, OH

James Bowman

JANNEY MONTGOMERY SCOTT LLC

IAR

Columbus (grandview), OH

Cody Anderson

J.P. MORGAN SECURITIES LLC

IAR

UPPER ARLINGTON, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Scott J. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Joseph Thomas's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

JPMORGAN ASSET MANAGEMENT

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

TCP ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/9/2020

Series 65

Date: 8/13/2003

Series 7TO

Date: 5/30/2020

SIE

Date: 5/11/2020

Series 7

Date: 11/9/2000

Series 27

Date: 6/20/2000

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

Similar Advisors