Diron Tappin
AIF®Professional Summary
Diron Tappin, AIF®, who also goes by 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,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Diron Tappin, Diron M. Tappin
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Credentials
Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
TCP ASSET MANAGEMENT, LLC | TRENDENCY CAPITAL PARTNERS, LLC
Contact Information
Main Address
5000 Horizons Drive, Upper Arlington, OH 43220Phone Number
(614) 761-9378# of Employees
42SEC notice filing (31 States and Territories)
Registered to provide investment advisory services in 31 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
5,021AUM (Assets Under Management)
$1,182,711,742Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
TCP ASSET MANAGEMENT, LLC | TRENDENCY CAPITAL PARTNERS, LLC
State Registrations and Notice Filings
(8/19/2021)
(9/13/2021)
(8/19/2021)
(8/17/2022)
(8/17/2022)
(8/17/2022)
(8/17/2022)
(1/7/2025)
(1/7/2025)
(8/17/2022)
(5/27/2026)
(1/7/2025)
(8/17/2022)
(8/17/2022)
(1/7/2025)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Diron Tappin's CRS (Customer Relationship Summary).
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