James Alexander Tappan

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2009 → 09/2023
  Sagepoint Financial, Inc.
  Phoenix, AZ
• 09/2023 → Present
  Osaic Wealth, Inc.
  Oklahoma City, OK

Previous Registrations

• 2005-10-31 → 2023-09-01
  Osaic Services, Inc.
  Oklahoma City, OK
• 2000-03-14 → 2005-10-31
  Spelman & Co., Inc.
  Oklahoma City, OK
• 2004-03-26 → 2004-08-03
  Century Advisors, Llc
  Oklahoma City, OK

Other Businesses

1.OSAIC WEALTH, INC., YES, 211 N ROBINSON AVE #435, OKLAHOMA CITY, OK 73102, INVESTMENT ADVISOR REPRESENTATIVE, MAY 1999, 160, 8, INVESTMENT ADVISORY SERVICES. 2. TAPPAN & CO. LLC (DBA TAPPAN FINANCIAL GROUP) POSITION: Owner - NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/01/2010 ADDRESS: 211 N Robinson, Ste. 435, Oklahaoma City OK 73102, United States DESCRIPTION: Entity held out for marketing purposes. 3. HISTORICAL PRESERVATION, INC. POSITION: member NATURE: Non Profit neighborhood historical district Board of Directors. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2022 ADDRESS: 401 NW 15th St., Oklahoma City OK 73103, United States DESCRIPTION: Sit in on monthly Board of Directors meetings. Attend occasional Finance Committee meetings. 4. Our Lady of Perpetual Help Cathedral: POSITION: Board Member/Finance Committee , Non Profit/church, INVESTMENT RELATED: No, NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2001. DESCRIPTION: Profit/Non-Profit Board of Directors (examples include, but are not limited to, board member, treasurer, bookkeeper, public office or council).

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-10-19
• S63 Uniform Securities Agent State Law Examination
  1986-06-02

Other Names

• Jim Tappan