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5000 Horizons Drive, Upper Arlington, OH 43220 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-04-10 |
Branch Locations
500 South Palm Canyon Dr. Ste 204, Palm Springs, CA 92264 • United States
5000 Horizons Drive, Upper Arlington, OH 43220 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Planners' Financial Services | Scottsdale | AZ | 08/2009 | Present |
| Rv Mulford Investment Corp | Rancho Mirage | CA | 04/2006 | 05/2022 |
| Panda Express | Rancho Mirage | CA | 11/2017 | 04/2022 |
| Tcp Asset Management, Llc | Columbus | OH | 05/2022 | 11/2023 |
| Tcp Asset Management Llc | Palm Springs | CA | 07/2024 | Present |
1.) TCP ASSET MANAGEMENT - DIRECTOR OF CLIENT & PRACTICE OPERATIONS-PALM SPRINGS, COMPLIANCE ANALYST - DBA NAME FOR MARKETING PURPOSES ONLY - PALM SPRINGS, CA - SINCE 05/2022 - INVESTMENT RELATED 2.) TCP ASSET MANAGEMENT LLC - DIRECTOR OF CLIENT & PRACTICE OPERATIONS-PALM SPRINGS, COMPLIANCE ANALYST - REGISTERED INVESTMENT ADVISOR - PALM SPRINGS, CA - SINCE 07/2024 - INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-03-16 |
| S63 | Uniform Securities Agent State Law Examination | 2009-11-30 |
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