James Tappan is a registered investment advisor at Osaic Wealth, INC., based in Oklahoma City, OK, with 39 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
Two Leadership Square, 211 N Robinson Ave # 435, Oklahoma City, OK, 73102
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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James is an Investment Advisor Representative with OSAIC Wealth, Inc. and owner of Tappan & Co. LLC (DBA Tappan Financial Group), which he dedicates full-time hours to. He also serves as a board member for Historical Preservation, Inc. and Our Lady of Perpetual Help Cathedral, spending minimal time on each.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
Century Advisors, LLC
Spelman & CO INC
Spelman & CO., INC.Broker
Century Investment Group IncorporatedBroker
Pas, INC.Broker
Leo Oppenheim & CO., INC.Broker
Leo Oppenheim & CO., INC.Broker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.