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RIA / WealthAdvisorCertified Financial Planner24 years in industry

BUGRA BAKAN

Advisor at OCCIDENTAL ASSET MANAGEMENT, LLC

BURLINGAME, CA

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Search this name across graphsid dfx:ria:edb117d2-ce1e-b9bb-40b7-0e3d68392384

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 6, 2004 to Sep 14, 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: Apr 23, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63|S66
First exam: Apr 23, 2002
First registration: Jul 6, 2004
Dual registered: no
IAPD individual key: 4524172

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	Dec 11, 2020	n/a	yes	BURLINGAME, CA	Current employment
SHIELD WEALTH MANAGEMENT	n/a	Jan 11, 2011	Nov 22, 2020	no	SAUSALITO, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 25, 2006	Jun 11, 2007	no	SAN RAFAEL, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	May 17, 2005	Jun 11, 2007	no	CORTE MADERA, CA\|SAN RAFAEL, CA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Jul 6, 2004	May 31, 2005	no	SAN FRANCISCO, CA	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
SHIELD WEALTH MANAGEMENT	OCCIDENTAL ASSET MANAGEMENT, LLC	Nov 22, 2020	Dec 11, 2020	19	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	SHIELD WEALTH MANAGEMENT	Jun 11, 2007	Jan 11, 2011	1,310	Firm change after gap	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Jun 11, 2007	Apr 25, 2006	-412	Channel change	Other
RBC CAPITAL MARKETS, LLC	TD AMERITRADE, INC.	May 31, 2005	May 17, 2005	-14	Firm change	Ibd to new firm

Relationships

Registered with (5)

→ OCCIDENTAL ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Dec 11, 2020 to presentfactForm ADV
→ SHIELD WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 11, 2011 to Nov 22, 2020factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 25, 2006 to Jun 11, 2007factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
May 17, 2005 to Jun 11, 2007factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Jul 6, 2004 to May 31, 2005factForm ADV

Dated events

No dated event names this entity yet.