AdFi
JR

Joshua Richard Allen

Investment Adviser Representative at TCP ASSET MANAGEMENT, LLC

UPPER ARLINGTON, OHCRD #5074710Dual-registered
Disclosure(s) on record — see official records below
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
48 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 48 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareFloridaGeorgiaHawaiiIdahoIllinoisIndianaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/2/2007
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 3/8/2014
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/10/2014
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 5/6/2006

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.02
Source

TCP ASSET Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNERCurrent
12/1/2016 – UPPER ARLINGTON, OH
LINCOLN FINANCIAL ADVISORS CORPORATION
7/23/2007 – 9/24/2012GALENA, OH
FSC SECURITIES CORPORATION
5/8/2006 – 9/26/2006WORTHINGTON, OH
OPPENHEIMER & CO. INC.
12/4/2013 – 10/20/2014CINCINNATI, OH
NATIONWIDE INVESTMENT SERVICES CORPORATION
11/17/2006 – 6/22/2007DUBLIN, OH
SECURITIES AMERICA, INC.
10/28/2014 – 10/28/2016COLUMBUS, OH
INVEST FINANCIAL CORPORATION
10/1/2012 – 12/5/2013WORTHINGTON, OH

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Joshua Richard Allen has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.