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GJ

Geovanni W. James

OCCIDENTAL ASSET MANAGEMENT
Altamonte Springs, FL 32701
Some features on this profile are disabled
CRD#: 7791532
GJ

Professional summary

Geovanni Waymon James is a registered financial advisor currently at OCCIDENTAL ASSET MANAGEMENT, LLC located in Altamonte Springs, Florida.

Geovanni is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Geovanni has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Geovanni Waymon James's CRS (Customer Relationship Summary).
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®
None

Experience

Current

September 7, 2023 - Present

OCCIDENTAL ASSET MANAGEMENT, LLC

Office #1: 711 Ballard St Suite 2000, Altamonte Springs, FL 32701
RIA
CRD#: 168650
Altamonte Springs, 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
Florida
(9/7/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/12/2023
Uniform Investment Adviser Law Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

OCCAM BROCHURE 202509 (9/16/2025)

Regulatory assets under management

Total Number of Accounts1,866
AUM (Assets Under Management)$ 953,420,608

Red Flags

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.

Company Information

OCCIDENTAL ASSET MANAGEMENT, LLC

CRD#: 168650Altamonte Springs, FL 32701

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