John Vincent

OCCIDENTAL ASSET MANAGEMENT, LLC

BURLINGAME, CA · CRD#

TERRAFIRMA WEALTH PARTNERS

WALNUT CREEK, CA · CRD#

GINSBERG FINANCIAL STRATEGIES

WALNUT CREEK, CA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

19 years registered in the securities industry

Current & Past Employments

Current

BTIG, LLCCurrent·CRD# 122225

BD

350 Bush Street 9th Floor, San Francisco, CA 94104

September 16, 2026 - Present

Past

BOFA SECURITIES, INC.Past·CRD# 283942

BD

Palo Alto, CA

October 30, 2019 - May 11, 2026

DEUTSCHE BANK SECURITIES INC.Past·CRD# 2525

BD

San Francisco, CA

October 23, 2018 - September 10, 2019

TRUIST SECURITIES, INC.Past·CRD# 6271

BD

San Francisco, CA

October 28, 2015 - September 5, 2018

OPPENHEIMER & CO. INC.Past·CRD# 249

BD

New York, NY

November 20, 2012 - September 17, 2015

GALLAGHER SECURITIES, INCPast·CRD# 116605

BD

New York, NY

September 7, 2012 - November 7, 2012

SIGNAL HILL CAPITAL GROUP LLCPast·CRD# 122782

BD

Baltimore, MD

January 9, 2009 - April 11, 2012

B. RILEY SECURITIES, INC.Past·CRD# 25027

BD

Arlington, VA

June 27, 2007 - January 9, 2009

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OCCIDENTAL ASSET MANAGEMENT, LLC

BURLINGAME, CA · CRD#

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Customer Relationship Summary (CRS / FINRA)

Current Firm

BL

BTIG, LLC

BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: 8-65473

BD

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Contact Information

Main Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Mailing Address

350 Bush Street 9th Floor, San Francisco, CA 94104

Phone Number

(415) 248-2200

Established

Delaware since 06/05/2002

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Large

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
CONDOR TRADING LP	MANAGER/MEMBER	—
CZEPIEL, KYLE ROBERT	CHIEF OPERATING OFFICER	2360785
ENDRES, BRIAN KENNETH	CFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER	2673131
HAMILTON, AUSTIN	CHIEF COMPLIANCE OFFICER	2592315
LEROY, ANTON MAURICE	CHIEF EXECUTIVE OFFICER	2862204

Disclosures

Regulatory Event

12

Civil Event

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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OCCIDENTAL ASSET MANAGEMENT, LLC

BURLINGAME, CA · CRD#

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(9/18/2026)

RR

Alaska
(9/18/2026)

RR

Arizona
(9/18/2026)

RR

Arkansas
(9/18/2026)

RR

California
(9/16/2026)

RR

Colorado
(9/18/2026)

RR

Connecticut
(9/18/2026)

RR

Delaware
(9/18/2026)

RR

District of Columbia
(9/18/2026)

RR

Florida
(9/18/2026)

RR

Georgia
(9/18/2026)

RR

Hawaii
(9/18/2026)

RR

Idaho
(9/18/2026)

RR

Illinois
(9/18/2026)

RR

Indiana
(9/18/2026)

RR

Iowa
(9/18/2026)

RR

Kansas
(9/18/2026)

RR

Kentucky
(9/18/2026)

RR

Louisiana
(9/18/2026)

RR

Maine
(9/18/2026)

RR

Maryland
(9/18/2026)

RR

Massachusetts
(9/18/2026)

RR

Michigan
(9/18/2026)

RR

Minnesota
(9/18/2026)

RR

Mississippi
(9/18/2026)

RR

Missouri
(9/18/2026)

RR

Montana
(9/18/2026)

RR

Nebraska
(9/18/2026)

RR

Nevada
(9/18/2026)

RR

New Hampshire
(9/18/2026)

RR

New Jersey
(9/18/2026)

RR

New Mexico
(9/18/2026)

RR

New York
(9/18/2026)

RR

North Carolina
(9/18/2026)

RR

North Dakota
(9/18/2026)

RR

Ohio
(9/18/2026)

RR

Oklahoma
(9/18/2026)

RR

Oregon
(9/18/2026)

RR

Pennsylvania
(9/18/2026)

RR

Rhode Island
(9/18/2026)

RR

South Carolina
(9/18/2026)

RR

South Dakota
(9/18/2026)

RR

Texas
(9/18/2026)

RR

Utah
(9/18/2026)

RR

Vermont
(9/18/2026)

RR

Virgin Islands
(9/18/2026)

RR

Virginia
(9/18/2026)

RR

Washington
(9/18/2026)

RR

West Virginia
(9/18/2026)

RR

Wisconsin
(9/18/2026)

RR

Wyoming
(9/18/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view John Vincent's CRS (Customer Relationship Summary).

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