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Scott Joseph Thomas

Investment Adviser Representative at TCP ASSET MANAGEMENT, LLC

Upper Arlington, OHCRD #4177526Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
12 yrs
States Registered
1 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Scott Joseph Thomas has worked in the securities industry since 2014. They have passed the Series 66, 65, 27, and 7 examinations. They are registered to provide investment advisory services in Ohio.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Ohio
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 6/9/2020
Series 65
Uniform Investment Adviser Law Examination
Passed 8/13/2003
Series 7
General Securities Representative Examination
Passed 5/30/2020
SIE
Securities Industry Essentials Examination
Passed 5/11/2020
Series 7
General Securities Representative Examination
Passed 11/9/2000
Series 27
Financial and Operations Principal Examination
Passed 6/20/2000

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.

TCP ASSET MANAGEMENT, LLCCurrent
5/6/2022 – Upper Arlington, OH
PRUDENTIAL FINANCIAL PLANNING SERVICES
9/11/2020 – 5/20/2022Columbus, OH
JPMORGAN ASSET MANAGEMENT
11/24/2003 – 12/31/2005Columbus, OH

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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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. Scott Joseph Thomas 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.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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