AdFi
DT

Diron Tappin

Investment Adviser Representative at TCP ASSET MANAGEMENT, LLC

Phoenix, AZCRD #4415868Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
23 yrs
States Registered
2 states
Exams Passed
6

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Diron Tappin has worked in the securities industry since 2003. They have passed the Series 66, 65, 31, 24, and 7 examinations. They are registered to provide investment advisory services in Arizona and Missouri.

Registrations & licenses

Registration type
Dual-registered
Registered in 2 states
ArizonaMissouri
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/2/2021
Series 66
Uniform Combined State Law Examination
Passed 10/20/2011
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 7/8/2002
Series 7
General Securities Representative Examination
Passed 8/22/2001
Series 24
General Securities Principal Examination
Passed 3/30/2006

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.02
Source

TCP Asset Management, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

TCP ASSET MANAGEMENT, LLCCurrent
9/13/2021 – Phoenix, AZ
GAINESWOOD INVESTMENT MANAGEMENT, INC.
10/21/2011 – 8/20/2012Scottsdale, AZ
GARP RESEARCH & SECURITIES COMPANY
10/21/2011 – 8/20/2012Scottsdale, AZ
COMPAK ASSET MANAGEMENT
3/28/2003 – 12/18/2003Mission Viejo, CA
MORGAN STANLEY
1/22/2002 – 1/13/2003Irvine, CA

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at TCP ASSET MANAGEMENT, LLC

Showing 12 of 25 in the directory

View TCP ASSET MANAGEMENT, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Diron Tappin has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

Find the right advisor for you

Take the free 3-minute assessment to get matched with advisors who fit your goals.

Get Matched
Diron Tappin - Financial Advisor in Phoenix, AZ | AdvisorFinder