Joshua R. Allen

TCP ASSET MANAGEMENT

UPPER ARLINGTON, OH 43220

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CRD#: 5074710

Professional summary

Joshua Richard Allen, CFP®, who also goes by Joshua R Allen, 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 Phoenix, Arizona.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Joshua has worked at 10 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua R Allen

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 - CHIEF EXECUTIVE OFFICER, PARTNER - DBA NAME FOR MARKETING PURPOSES ONLY - COLUMBUS, OH - SINCE 08/2018 - INVESTMENT RELATED 2.) JOSHUA ALLEN INDEPENDENT INSURANCE - NO TITLE - INSURANCE SALES AND SERVICES - COLUMBUS, OH - SINCE 12/2016 - INVESTMENT RELATED 3.) PPBJ MANAGEMENT - PARTNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - PHOENIX, AZ - SINCE 01/2021 - INVESTMENT RELATED 4.) TCP ASSET MANAGEMENT LLC - CHIEF EXECUTIVE OFFICER PARTNER - REGISTERED INVESTMENT ADVISOR - COLUMBUS, OH - SINCE 01/2017 - INVESTMENT RELATED 5.) JOSHUA ALLEN - DIRECTOR WEALTH MANAGEMENT - NON-VARIABLE INSURANCE - COLUMBUS, OH - SINCE 11/2005 - INVESTMENT RELATED 6.) REIGN REAL ESTATE GROUP LLC - CONSULTANT - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - COLUMBUS, OH - SINCE 04/2025 - NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Richard Allen'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

January 13, 2017 - Present

TCP ASSET MANAGEMENT, LLC

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

RIA

CRD#: 286037

UPPER ARLINGTON, OH

Current

December 1, 2016 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 11130 N Tatum Blvd Ste I-101, Phoenix, AZ 85028Office #2: 500 South Palm Canyon Dr. Ste. 204, Palm Springs, CA 92264Office #3: 5000 Horizons Drive, Upper Arlington, OH 43220

RIA

CRD#: 20804

Phoenix, AZ

Past

May 2, 2022 - December 31, 2023

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 7110

DUBLIN, OH

Past

May 8, 2006 - September 26, 2006

FSC SECURITIES CORPORATION

CRD#: 7461

WORTHINGTON, OH

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

Alabama
(1/24/2017)

Arizona
(3/19/2018)

Arkansas
(4/24/2018)

California
(1/23/2017)

Colorado
(1/20/2021)

Connecticut
(8/17/2022)

Delaware
(1/30/2023)

Florida
(12/2/2016)

Georgia
(12/2/2016)

Hawaii
(3/29/2022)

Idaho
(4/12/2019)

Illinois
(12/2/2016)

Indiana
(12/2/2016)

Kansas
(1/21/2021)

Kentucky
(12/2/2016)

Louisiana
(6/29/2021)

Maine
(8/17/2022)

Maryland
(3/14/2017)

Massachusetts
(10/30/2017)

Michigan
(3/31/2017)

Minnesota
(3/11/2019)

Mississippi
(3/12/2019)

Missouri
(4/21/2021)

Montana
(7/21/2017)

Nebraska
(1/20/2021)

Nevada
(4/15/2019)

New Hampshire
(4/18/2019)

New Jersey
(8/18/2022)

New Mexico
(3/11/2019)

New York
(3/31/2017)

North Carolina
(4/3/2017)

Ohio
(12/2/2016)

IAR

Ohio
(1/19/2017)

Oklahoma
(8/26/2024)

Oregon
(4/19/2017)

Pennsylvania
(12/2/2016)

Rhode Island
(2/6/2023)

South Carolina
(2/8/2018)

South Dakota
(1/22/2021)

Tennessee
(12/2/2016)

IAR

Texas
(1/13/2017)

Texas
(1/29/2017)

Utah
(5/31/2019)

Vermont
(5/5/2025)

Virginia
(2/7/2018)

Washington
(10/18/2017)

West Virginia
(12/2/2016)

Wisconsin
(8/13/2024)

Wyoming
(1/20/2021)

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: 2/2/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/6/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/8/2014

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/10/2014

General Securities Sales Supervisor - Options Module 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.

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Advisor Monitoring

Firm Stability Insights

Joshua R. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Richard Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

TRENDENCY CAPITAL MANAGEMENT, LLC

SECURITIES AMERICA, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

OSAIC FA, INC.

OSAIC FA, INC.

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

FSC SECURITIES CORPORATION

Primary Firm SEC Registration

TCP ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/2/2007

SIE

Date: 10/1/2018

Series 7

Date: 5/6/2006

Series 10

Date: 3/8/2014

Series 9

Date: 1/10/2014

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

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