Diron Tappin

TCP ASSET MANAGEMENT

Phoenix, AZ 85028

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CRD#: 4415868

Professional summary

Diron Tappin, AIF®, who also goes by Diron M. Tappin, Diron Tappin, Diron M. Tappin, is a registered financial advisor currently at TCP ASSET MANAGEMENT, LLC located in Phoenix, Arizona and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Phoenix, Arizona.

Diron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Diron has worked at 12 firms and has passed the Series 65, Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diron M. Tappin | Diron Tappin | Diron M. Tappin

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.

1.) GOLDEN CLOUDS LLC - PARTNER - YOUTH SPORTS - SCOTTSDALE, AZ - SINCE 07/2018 - NOT INVESTMENT RELATED 2.) TCP ASSET MANAGEMENT - WEALTH ADVISOR - REGISTERED INVESTMENT ADVISOR - PHOENIX, AZ - SINCE 08/2021 - INVESTMENT RELATED 3.) TCP ASSET MANAGEMENT - DBA NAME FOR MARKETING PURPOSES ONLY - PHOENIX, AZ - SINCE 08/2021 - INVESTMENT RELATED 4.) DIRON TAPPIN - LICENSED AGENT - NON-VARIABLE INSURANCE - PHOENIX, AZ - SINCE 10/2021 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diron Tappin's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 13, 2021 - Present

TCP ASSET MANAGEMENT, LLC

Office #1: 11130 N Tatum Blvd # 101, Phoenix, AZ 85028

RIA

CRD#: 286037

Phoenix, AZ

Current

August 19, 2021 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 11130 N Tatum Blvd Ste I-101, Phoenix, AZ 85028

RIA

CRD#: 20804

Phoenix, AZ

Past

February 25, 2019 - August 20, 2021

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

February 2, 2018 - November 7, 2018

ICAPITAL MARKETS LLC

CRD#: 118219

Scottsdale, AZ

Past

February 29, 2016 - February 16, 2018

M. S. HOWELLS & CO.

CRD#: 104100

SCOTTSDALE, AZ

Past

September 29, 2015 - March 2, 2016

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Boston, MA

Past

August 13, 2012 - September 9, 2015

M. S. HOWELLS & CO.

CRD#: 104100

SCOTTSDALE, AZ

Past

October 21, 2011 - August 20, 2012

GARP RESEARCH & SECURITIES COMPANY

RIA

CRD#: 124789

SCOTTSDALE, AZ

Past

October 21, 2011 - August 20, 2012

GAINESWOOD INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 121715

SCOTTSDALE, AZ

Past

October 28, 2008 - November 29, 2010

GARP RESEARCH & SECURITIES COMPANY

CRD#: 124789

SCOTTSDALE, AZ

Past

June 22, 2007 - October 13, 2008

BROADPOINT AMTECH, INC.

CRD#: 121456

SCOTTSDALE, AZ

Past

April 26, 2004 - June 19, 2007

M. S. HOWELLS & CO.

CRD#: 104100

NOVATO, CA

Past

December 17, 2003 - May 4, 2004

MDB CAPITAL

CRD#: 42677

ADDISON, TX

Past

November 20, 2003 - January 6, 2004

COMPAK SECURITIES, INC.

CRD#: 125472

NEWPORT BEACH, CA

Past

March 28, 2003 - December 18, 2003

COMPAK ASSET MANAGEMENT

RIA

CRD#: 109930

MISSION VIEJO, CA

Past

January 22, 2002 - January 13, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

IRVINE, CA

Past

August 23, 2001 - January 13, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TCP ASSET MANAGEMENT, LLC

TCP ASSET MANAGEMENT, LLC | TRENDENCY CAPITAL PARTNERS, LLC

CRD#: 286037 / SEC#: 801-108836

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/19/2021)

IAR

Arizona
(9/13/2021)

California
(8/19/2021)

Connecticut
(8/17/2022)

Florida
(8/17/2022)

Georgia
(8/17/2022)

Illinois
(5/9/2024)

Maine
(8/17/2022)

Massachusetts
(1/7/2025)

Mississippi
(1/7/2025)

Missouri
(8/17/2022)

New Hampshire
(1/7/2025)

New Jersey
(8/17/2022)

New York
(8/17/2022)

Tennessee
(2/10/2025)

Virginia
(1/7/2025)

Washington
(5/9/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/2/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/20/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/8/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/22/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/30/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TCP ASSET MANAGEMENT, LLC

TCP ASSET MANAGEMENT, LLC | TRENDENCY CAPITAL PARTNERS, LLC

CRD#: 286037 / SEC#: 801-108836

RIA

Registered Investment Advisory firm - (1/3/2017 Approved)

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Contact information

Main Address

5000 Horizons Drive, Upper Arlington, OH 43220

Mailing Address

Phone number

(614) 761-9378

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TCP ASSET MANAGMENT, LLC FIRM BROCHURE (10/10/2025)

Regulatory assets under management

Total Number of Accounts	3,930
AUM (Assets Under Management)	$ 822,130,691

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Advisor Monitoring

Firm Stability Insights

Diron Tappin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diron Tappin's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

FORESIDE FUND SERVICES, LLC

ICAPITAL MARKETS LLC

M. S. HOWELLS & CO.

FORESIDE FUND SERVICES, LLC

M. S. HOWELLS & CO.

GARP RESEARCH & SECURITIES COMPANY

GAINESWOOD INVESTMENT MANAGEMENT, INC.

GARP RESEARCH & SECURITIES COMPANY

BROADPOINT AMTECH, INC.

M. S. HOWELLS & CO.

MDB CAPITAL

COMPAK SECURITIES, INC.

COMPAK ASSET MANAGEMENT

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TCP ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/2/2021

Series 66

Date: 10/20/2011

SIE

Date: 10/1/2018

Series 31

Date: 7/8/2002

Series 7

Date: 8/22/2001

Series 24

Date: 3/30/2006

FINRA

Current Firm

TCP ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TCP ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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