Phillip Joseph Susi

Investment Adviser Representative at TCP ASSET MANAGEMENT, LLC

UPPER ARLINGTON, OHCRD #5109197Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

19 yrs

States Registered

24 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 24 states

AlabamaArizonaCaliforniaColoradoFloridaGeorgiaIllinoisIndianaKentuckyMarylandMichiganMinnesotaMississippiNew MexicoNew YorkNorth CarolinaOhioOregonSouth CarolinaSouth DakotaTexasVirginiaWashingtonWisconsin

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 7/1/2011

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 8/23/2007

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

12/7/2016 – UPPER ARLINGTON, OH

RAYMOND JAMES FINANCIAL SERVICES, INC.

8/24/2007 – 7/28/2008LANCASTER, OH

FSC SECURITIES CORPORATION

8/14/2008 – 2/6/2009WORTHINGTON, OH

OPPENHEIMER & CO. INC.

8/12/2013 – 10/20/2014CINCINNATI, OH

SECURITIES AMERICA, INC.

10/30/2014 – 10/28/2016BEXLEY, OH

INVEST FINANCIAL CORPORATION

1/9/2009 – 8/12/2013WORTHINGTON, 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. Phillip Joseph Susi 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.