Andrew J. Tapparo

TAPPARO CAPITAL MANAGEMENT

TOPSFIELD, MA

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CRD#: 3034776

Professional summary

Andrew James Tapparo, who also goes by Andrew J Tapparo, is a registered financial advisor currently at TAPPARO CAPITAL MANAGEMENT located in Topsfield, Massachusetts.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Andrew has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew J Tapparo

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew James Tapparo's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 8, 1998 - Present

TAPPARO CAPITAL MANAGEMENT

RIA

CRD#: 128813

TOPSFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(5/8/1998)

IAR

New York
(10/4/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/12/1998

Uniform Investment Adviser Law Examination

Current Firm

TAPPARO CAPITAL MANAGEMENT

ANDREW JAMES TAPPARO | TAPPARO CAPITAL MANAGEMENT

CRD#: 128813 / SEC#:

Massachusetts

Registered Investment Advisory firm - (5/8/1998 Approved)

New York

Registered Investment Advisory firm - (6/13/2018 Approved)

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Contact information

Main Address

10 South Main Street Suite 208a, Topsfield, MA 01983-1312

Mailing Address

Phone number

(978) 887-1121

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	332
AUM (Assets Under Management)	$ 82,579,804

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Andrew J. Tapparo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew James Tapparo's CRS (Customer Relationship Summary).

Certified licenses

Experience

TAPPARO CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/12/1998

Current Firm

TAPPARO CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TAPPARO CAPITAL MANAGEMENT

TRUST BUT VERIFY

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