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RIA / WealthAdvisorCertified Financial Planner20 years in industry

JAMES PAUL GRIFFIN

Advisor at OCCIDENTAL ASSET MANAGEMENT, LLC

Altamonte Springs, FL | BURLINGAME, CA

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Search this name across graphsid dfx:ria:683f0407-27ea-13b8-cc6c-a0fa507132b3

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Feb 25, 2010 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OCCIDENTAL ASSET MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 4
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Jan 21, 2007
First registration: Feb 25, 2010
Dual registered: no
Other names: JAMAL PAUL RAHMAN|JAMAL PAUL ABDUL-RAHMAN
IAPD individual key: 5180016

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OCCIDENTAL ASSET MANAGEMENT, LLC	Independent wealth	Jan 12, 2024	n/a	yes	BURLINGAME, CA\|Altamonte Springs, FL	Current employment
CHARLES SCHWAB & CO., INC.	National bd RIA	Apr 14, 2022	Jan 10, 2024	no	Orlando, FL\|Coral Gables, FL\|Winter Park, FL	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 25, 2010	Sep 7, 2023	no	ALTAMONTE SPRINGS, FL\|FORT WORTH, TX\|Winter Park, FL	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 25, 2010	Oct 14, 2022	no	WestLake, TX\|FORT WORTH, TX\|Winter Park, FL\|Orlando, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CHARLES SCHWAB & CO., INC.	OCCIDENTAL ASSET MANAGEMENT, LLC	Jan 10, 2024	Jan 12, 2024	2	Firm change	Ibd to RIA
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CHARLES SCHWAB & CO., INC.	Sep 7, 2023	Apr 14, 2022	-511	Bulk transfer	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 14, 2022	Feb 25, 2010	-4,614	Bulk transfer	Other

Relationships

Registered with (4)

→ OCCIDENTAL ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Jan 12, 2024 to presentfactForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Apr 14, 2022 to Jan 10, 2024factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 25, 2010 to Sep 7, 2023factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 25, 2010 to Oct 14, 2022factForm ADV

Dated events

Occurred
Jan 10, 2024
Advisor changed firm
James Paul Griffin left Charles Schwab & Co., Inc. for Occidental Asset Management, Llc (registered 2024-01-12)
Form ADVobserved 6 days ago