Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alexander Tappan is a registered investment advisor representative with Osaic Wealth, Inc. and holds Series 3, 7, 24, 53, 63, and 65 licenses. James has been in the industry since 1986 and has held previous positions at SAGEPOINT FINANCIAL, INC., SPELMAN & CO., INC., CENTURY INVESTMENT GROUP INCORPORATED, PAS, INC., LEO OPPENHEIM & CO., INC. James provides financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management services for businesses and individuals. James also owns and operates Tappan Financial Group, a limited liability company.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
OK
06/04/2024 - Present
Osaic Wealth, Inc. (OKLAHOMA CITY OK)
OK
10/31/2005 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (OKLAHOMA CITY OK)
AZ
05/20/1999 - 10/31/2005
SPELMAN & CO., INC. (PHOENIX AZ)
CA
05/02/1994 - 06/02/1999
CENTURY INVESTMENT GROUP INCORPORATED (SAN DIEGO CA)
NA
05/16/1990 - 05/24/1994
PAS, INC.
OK
04/09/1990 - 11/20/1990
LEO OPPENHEIM & CO., INC. (OKLAHOMA CITY OK)
NA
05/22/1986 - 04/09/1990
LEO OPPENHEIM & CO., INC.
IA
Issued 10/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/02/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/12/1987
Series 24 - General Securities Principal Examination
BC
Issued 11/12/1981
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/1989
Series 3 - National Commodity Futures Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Tappan is the right advisor for you? Invested Better is here to help.
