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Detailed Report
JAMES PAUL GRIFFIN
JAMAL PAUL ABDUL-RAHMAN, JAMAL PAUL RAHMAN
CRD#: 5180016
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Investment Adviser
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Previous Broker
OCCIDENTAL ASSET MANAGEMENT, LLCCRD#: 168650 711 Ballard Street, Suite 2000
Altamonte Springs, FL 32701
Registration History
20082010201220142016201820202022202420262 FIRMS2022 - 2024 (2 years)IAOCCIDENTAL ASSET MANAGEMENT, LLC (CRD# 168650)2024 - Present (1 year)BTD AMERITRADE, INC. (CRD# 7870)2007 - 2023 (16 years)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2010 - 2023 (13 years)IATD AMERITRADE, INC. (CRD# 7870)2010 - 2022 (12 years)
License(s)

State Registrations

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California 1/12/2024
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South Carolina 1/12/2024
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Florida 1/25/2024
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Texas 1/12/2024
Current Registration(s)
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OCCIDENTAL ASSET MANAGEMENT, LLC (CRD#:168650)
711 Ballard Street, Suite 2000, Altamonte Springs, FL 32701
Registered with this firm since 1/12/2024
Previous Registration(s)
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 04/14/2022 - 01/10/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Orlando, FL
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 01/26/2022 - 01/10/2024 CHARLES SCHWAB & CO., INC. (CRD#:5393) Orlando, FL
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 01/17/2007 - 12/20/2023 TD AMERITRADE, INC. (CRD#:7870) Orlando, FL
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 02/25/2010 - 09/07/2023 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Winter Park, FL
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 02/25/2010 - 10/14/2022 TD AMERITRADE, INC. (CRD#:7870) Orlando, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.