JG
James P. Griffin
OCCIDENTAL ASSET MANAGEMENT
Altamonte Springs, FL 32701
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CRD#: 5180016
JG
Professional summary
James Paul Griffin, CFP®, who also goes by Jamal Paul Abdul-rahman, Jamal Paul Rahman, is a registered financial advisor currently at OCCIDENTAL ASSET MANAGEMENT, LLC located in Altamonte Springs, Florida.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jamal Paul Abdul-Rahman | Jamal Paul Rahman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Name of Outside Business:Real Estate; Investment Related:Yes; Address of Outside Business:Garland, TX; Nature of Outside Business:Rental Property; Position:Owner; Start Date:6/1/2016; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Residential real estate property. Passive investment. Property management is company is used to collect rent and take care of any maintenance needed on the property. Name of Outside Business:Street Food Market 1234 LLC; Investment Related:No; Address of Outside Business:San Francisco, CA; Nature of Outside Business:Service Industry; Position:Minority Ownership; Start Date:9/3/2018; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Owner of preferred membership interests. Comes out to 0.625% of ownership. The LLC owns 4 restaurant locations in the Bay area. This is a passive investment where I will have zero day to day participation. The manager of the LLC will be involved with all of the operations of the company. Name: Verde Malo LLC, Role: Manager, Type: Real Estate, Start Date: 11/21/2019, Investment Related?: No, Address: 2440 McIntosh Way, Maitland, FL 32751, Number of Hours/Mo: 4, Duties: Locate investment opportunities. Analyze risk/reward. Invest capital. Monitor project. Collect capital. Re-invest. Name: Real Estate License - Commercial, Role: Agent, Type: REAL_ESTATE, Start Date: 02/01/2019, Investment Related?: No, Address: 2440 McIntosh Way, Maitland, FL 32751, Number of Hours/Mo: 10, Duties: Cold call landowners for corporate clients of the RE firm to see who is open to selling their property to the corporate clients. Rental Property |Investment Related:No|1421 Border Drive;Winter Park ;FL ;32789;USA|Real Estate (Non-Agent/Broker)|Owner|2017-02-13|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|Own rental property. Manage and supervise. Dommerich Elementary Fund| Investment Related: No| 601 N Thistle ;Maitland; FL;32751; USA| Nonprofit Charitable Organizations| Secretary |2022-05-30| Hours Per Month: Less than 20| Hours Spent during Security Trading: 1| Secretarial duties. Will not be touching funds, overseeing funds or doing anything investment related.
CRS (Client Relationship Summary) - RIA
Click below to view James Paul Griffin's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
January 12, 2024 - Present
OCCIDENTAL ASSET MANAGEMENT, LLC
Office #1: 711 Ballard Street, Suite 2000, Altamonte Springs, FL 32701RIA
CRD#: 168650
Altamonte Springs, FL
Past
April 14, 2022 - January 10, 2024
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Orlando, FL
Past
January 26, 2022 - January 10, 2024
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Orlando, FL
Past
February 25, 2010 - October 14, 2022
TD AMERITRADE, INC.
RIA
CRD#: 7870
Orlando, FL
Past
February 25, 2010 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Winter Park, FL
Past
January 17, 2007 - December 20, 2023
TD AMERITRADE, INC.
BD
CRD#: 7870
Orlando, FL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OA
OCCIDENTAL ASSET MANAGEMENT, LLC
OCCAM | YOUR MENTAL WEALTH ADVISORS | YMW ADVISORS | OCCIDENTAL ASSET MANAGEMENT, LLC
CRD#: 168650 / SEC#: 801-78516
RIA
Registered Investment Advisory firm - (9/6/2013 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(1/12/2024)
IAR
Florida(1/25/2024)
IAR
South Carolina(1/12/2024)
IAR
Texas(1/12/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
OA
OCCIDENTAL ASSET MANAGEMENT, LLC
OCCAM | YOUR MENTAL WEALTH ADVISORS | YMW ADVISORS | OCCIDENTAL ASSET MANAGEMENT, LLC
CRD#: 168650 / SEC#: 801-78516
RIA
Registered Investment Advisory firm - (9/6/2013 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
301 California Drive #9, Burlingame, CA 94010
Mailing Address
Phone number
(650) 344-1600
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (25 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,866 |
| AUM (Assets Under Management) | $ 953,420,608 |
Red Flags
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Company Information
OCCIDENTAL ASSET MANAGEMENT, LLC
CRD#: 168650Altamonte Springs, FL 32701TRUST BUT VERIFY
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