Our Firm
Tappan Financial is comprised of professional specialists with concentrated financial expertise in stocks, bonds, exchange traded funds, and mutual funds. For most clients, we serve as discretionary financial advisors and assume fiduciary responsibility for these managed accounts. In some instances we alternately provide commission based brokerage.
Our securities and advisory services are provided through SagePoint Financial*, one of the nation's leading associations of financial advisors, with clearing and safekeeping at Pershing, LLC, a subsidiary of Bank of New York, the world's leading custodian of individual brokerage accounts.
James A. Tappan, M.B.A.
Registered Principal, Registered Representative / Investment Advisory Representative, O.S.J.*
An extensive financial services career including key roles at money center banks, principal in a regional investment bank and current affiliation with a leading international finance and insurance corporation provide a framework of experience and refinement of skills for James A. Tappan. He personally oversees investment management of more than 100 high net worth accounts utilizing fixed income holdings and globally diversified equities and sector specific indices. Tappan received a Masters of Business Administration from the University of Arkansas and undergraduate degrees in Accounting and Finance. He is currently securities registered in 12 states and holds Series 3, 7, 24, 53, 63 and 65 registrations.
He has also been instrumental in founding and developing a financial information research company, Bondtrac, Inc., which has been used for more than 15 years by hundreds of trading firms, investment advisors, wealth managers, and buy side portfolio managers including AIG, Ameriprise (formerly American Express), Bank of New York, Charles Schwab, Chase, Citigroup, Goldman Sachs, Morgan Stanley, Oppenheimer, Standard & Poors, UBS, USAA, and Wells Fargo and utilized by thousands of financial professionals at those firms.
Mark A. Triska
Non-Registered Assistant
Mark Triska has over 25 years of professional experience in the financial industry, as an advisor and senior trader in equities and fixed income securities for major investment banking firms including Leo Oppenheim & Co. (now part of Bank of Oklahoma), Schmidt Securities, Bank One and Morgan Stanley. Prior to his involvement in the securities industry, Mark managed the crude oil trading and refining operations for three major refineries in Oklahoma and served as senior accountant with Arthur Anderson & Co. Mark graduated in 1980 with degrees in finance and accounting from Oklahoma State University.