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Diron Tappin

TCP Asset Management

11130 N. Tatum Blvd
Suite I-101

Phoenix, AZ 85028

480-824-8444

Reduce Worry | Increase Freedom | Rest Easy

About TCP Asset Management

We are a group of financial professionals committed to partnering with you throughout your financial life. As a full-service independent firm, we provide honest, fiduciary financial advice to a dynamic group of successful individuals and their families.

General Information

Firm Start Year

2017

No.of Employees

20-49

CRD#

4415868

Firm CRD#

2866037

Name of Broker/Dealer

United Planners

Name of Custodial Firm

TD Ameritrade

Years of Experience in Financial Services

20

Number of Years with Current Firm

1

Work Experience

Diron Tappin began his career on Wall Street with Morgan Stanley in 2001. Over the last 20 years Diron has had deep experience in the financial services business holding key roles in research, trading, hedge fund formation, Exchange Traded Funds (ETFs), advisor compliance & administration. This has given him an inside look at the industry working with countless advisors and asset managers over the years.

Work with the following types of clients

Businesses, Individual Investors, Non-Profit Organizations

Advisory Services Provided

Portfolio Management, Financial Planning, Insurance Products & Annuities, Investment Advice & Management, Financial Advice & Consulting, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Businesses, Financial Planning for Individuals

Services

Investment Types

Alternative Investments, Exchange Traded Funds (ETFs), Bonds, Stocks

Can meet clients in the following ways

Your Home, Our Office, Your Office, Video Conference

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

Yes

Acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

Have a clean record

Criminal Disclosures in Last 5 years

Have a clean record

Firm Information

Firm's Number of Clients

1200

Firm's Number of Planning Clients

1000

Firm's Number of Managed Clients

1000

Assets Managed by Firm

$500,000,000

Advisor's Number of Clients

1200

Advisor's Number of Managed Clients

1100

Advisor's Number of Planning Clients

1000

Assets Managed by Advisor

$500,000,000

Compensation and Fees

Compensation Methods

Flat Fee

Education

Bachelor -

University of Northern Colorado
08/20/1994 - 05/12/1999

Disclosures

https://tcpasset.com/contact

Disclaimer

Due to various state regulations and registration requirements concerning the dissemination of information regarding investment products and services, we are currently required to limit access of the following pages to individuals residing in states where we are currently securities registered. Investments products and services available only to residents of AL, AZ, AR, CA, CO, FL, GA, ID, IL, IN, KS, KY, MA, MD, MI, MN, MS, MT, NC, NE, NV, NH, NM, NY, OH, OR, PA, SC, SD, TN, TX, UT, VA, WA, WI, WV, WY. Investment Advisory services are available only to residents that reside in the states of AL, AZ, CA, CO, FL, GA, IL, IN, KY, MI, MN, NC, OH, PA, SC, TN, TX, WV, WY. A broker/dealer, investment advisor, BD agent or IA rep may only transact business in a particular state after licensure or satisfying qualifications requirements of that state, or only if they are excluded or exempted from the states broker/dealer, investment adviser, or BD agent or IA rep requirements, as the case may be; and follow-up, individualized responses to consumers in a particular state by broker/dealer, investment adviser, BD agent or IA rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first complying with the states broker/dealer, investment adviser, BD agent or IA rep requirements, or pursuant to an applicable state exemption or exclusion. Registered Representatives offer Securities through United Planners' Financial Services of America Member FINRA/SIPC. Advisory services offered through TCP Asset Management, LLC., TCP Asset Management, LLC, and United Planners are not affiliated. We take protecting your data and privacy very seriously. As of January 1, 2020 the California Consumer Privacy Act (CCPA) suggests the following link as an extra measure to safeguard your data: Do not sell my personal information.