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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

PHILLIP JOSEPH SUSI

Advisor at TCP ASSET MANAGEMENT, LLC

UPPER ARLINGTON, OH

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 13, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TCP ASSET MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 1, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 1, 2011
First registration: Jun 13, 2008
Dual registered: yes, broker-dealer
Other names: PHILLIP SUSI|PHILLIP JOSEPH SUSI|PHILLIP SUSI
IAPD individual key: 5109197

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TCP ASSET MANAGEMENT, LLC	Independent wealth	Jan 19, 2017	n/a	yes	UPPER ARLINGTON, OH	Current employment
TRENDENCY CAPITAL MANAGEMENT, LLC	n/a	Oct 30, 2014	Jan 13, 2017	no	BEXLEY, OH\|COLUMBUS, OH\|COLUMBUS, OH	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Aug 12, 2013	Oct 20, 2014	no	PICKERINGTON, OH\|CINCINNATI, OH	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Jul 5, 2011	Aug 12, 2013	no	WORTHINGTON, OH	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Jun 13, 2008	Jul 28, 2008	no	LANCASTER, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
TRENDENCY CAPITAL MANAGEMENT, LLC	TCP ASSET MANAGEMENT, LLC	Jan 13, 2017	Jan 19, 2017	6	Firm change	Other
OPPENHEIMER & CO. INC.	TRENDENCY CAPITAL MANAGEMENT, LLC	Oct 20, 2014	Oct 30, 2014	10	Firm change	Other
INVEST FINANCIAL CORPORATION	OPPENHEIMER & CO. INC.	Aug 12, 2013	Aug 12, 2013	0	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	INVEST FINANCIAL CORPORATION	Jul 28, 2008	Jul 5, 2011	1,072	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
159431:286037:OH:2017-01-13	Jan 13, 2017	Jan 19, 2017	COLUMBUS, OH	Firm change

Relationships

Registered with (5)

→ TCP ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Jan 19, 2017 to presentfactForm ADV
→ TRENDENCY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Oct 30, 2014 to Jan 13, 2017factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Aug 12, 2013 to Oct 20, 2014factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Jul 5, 2011 to Aug 12, 2013factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 13, 2008 to Jul 28, 2008factForm ADV

Dated events

No dated event names this entity yet.