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Thomas L Patricca

Tlp Financial Services, Inc.

Estero, FL

CRD 2116834

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Employer firm

Tlp Financial Services, Inc. CRD 283449

$37.2M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Tlp Financial Services, Inc.

Estero, FL • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-03-24
MA RA APPROVED 2023-02-16
FL RA APPROVED 2016-05-20
  • NY RA
    APPROVED
    Since 2023-03-24
  • MA RA
    APPROVED
    Since 2023-02-16
  • FL RA
    APPROVED
    Since 2016-05-20

Branch Locations

Estero, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tlp Financial Services, Inc. Estero FL 04/2016 Present
Previous Registrations
Other Businesses

Tax and Accounting Services - Implemented through the individual part-time appx 5 hours a month

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-06-04
S63 Uniform Securities Agent State Law Examination 1991-05-03
  • S65 Uniform Investment Adviser Law Examination
    1994-06-04
  • S63 Uniform Securities Agent State Law Examination
    1991-05-03
Designations
  • Certified Financial Planner

View on SEC IAPD

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