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5000 Horizons Drive, Upper Arlington, OH 43220 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2024-06-11 |
Branch Locations
5000 Horizons Drive, Upper Arlington, OH 43220 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Las Vegas | NV | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Las Vegas | NV | 11/2016 | 05/2024 |
| United Planners Financial Services | Scottsdale | AZ | 05/2024 | Present |
| Rental Property | Lake City | CO | 01/2011 | Present |
| Wells Fargo Advisors | Las Vegas | NV | 01/2000 | 05/2024 |
| Tcp Asset Management | Las Vegas | NV | 05/2024 | Present |
| Tcp Asset Management Llc | Las Vegas | NV | 05/2024 | 11/2024 |
| Tcp Asset Management Llc | Las Vegas | NV | 11/2024 | Present |
1.) RENTAL PROPERTY - PROPERTY OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - LAKE CITY, CO - SINCE 01/2011 - INVESTMENT RELATED 2.) CO-OWNER OF A VACATION RENTAL CABIN WHERE I RECEIVE RENTAL INCOME. ALSO, CURRENTLY EMPLOYED WITH UNITED PLANNERS FINANCIAL SERVICES AS A REGISTERED REPRESENTATIVE. NO COMMISSIONS RECEIVED. 3.) TCP ASSET MANAGEMENT - CHIEF COMPLIANCE OFFICER - DBA NAME FOR MARKETING PURPOSES - LAS VEGAS, NV - SINCE 05/2024 - INVESTMENT RELATED 4.) TCP ASSET MANAGEMENT LLC - CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISOR - LAS VEGAS, NV - SINCE 11/2024 - INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-08-15 |
| S63 | Uniform Securities Agent State Law Examination | 1993-06-05 |
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