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James Paul Griffin

Occidental Asset Management, LLC

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About James Paul Griffin

James Paul Griffin is a financial professional with over 17 years of experience in the financial services industry. James is currently registered with Occidental Asset Management, LLC in California, Florida, South Carolina and Texas. James has a Series 7, 9, 10, 24, 63 and 66 license and is also a CERTIFIED FINANCIAL PLANNER™ professional. Prior to joining Occidental Asset Management, LLC, James worked with TD Ameritrade, Inc. and Charles Schwab & Co., Inc.

Firm Information

James Griffin is currently registered with Occidental Asset Management, LLC. Occidental Asset Management, LLC is a registered investment advisor located in Burlingame, CA. They offer a variety of advisory services, including financial planning, selection of other advisors, and portfolio management for individuals. Their clientele consists primarily of high-net-worth individuals. The firm manages over $796 million in assets for over 1700 accounts.
Occidental Asset Management, LLC

301 CALIFORNIA DRIVE #9

BURLINGAME, CA 94010

$796.08M

Assets Under Management

Not reported

Total Clients

10

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Griffin’s Registration & Firm History

FL

01/12/2024 - Present

Occidental Asset Management, LLC (Altamonte Springs FL)

FL

01/26/2022 - 01/10/2024

CHARLES SCHWAB & CO., INC. (Orlando FL)

FL

01/17/2007 - 12/20/2023

TD AMERITRADE, INC. (Orlando FL)

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Licenses & Designations

BOTH

Issued 02/22/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/21/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/15/2022

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/10/2021

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 02/14/2013

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/14/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Paul Griffin.
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