James Paul Griffin

Current Employers

Employment History

• 06/2006 → 02/2022
  Td Ameritrade
  Fort Worth, TX
• 02/2022 → 01/2024
  Charles Schwab & Co., Inc.
  Orlando, TX
• 02/2022 → 01/2024
  Charles Schwab Bank, Ssb
  Orlando, FL
• 01/2024 → Present
  Occidental Asset Management, Llc
  Orlando, FL

Previous Registrations

• 2022-04-14 → 2024-01-10
  Charles Schwab & Co., Inc.
  Orlando, FL
  Coral Gables, FL
  Winter Park, FL
• 2010-02-25 → 2023-09-07
  Td Ameritrade Investment Management, Llc
  Altamonte Springs, FL
  Fort Worth, TX
  Winter Park, FL
• 2010-02-25 → 2022-10-14
  Td Ameritrade, Inc.
  Westlake, TX
  Fort Worth, TX
  Winter Park, FL
  Orlando, FL

Other Businesses

Name of Outside Business:Real Estate; Investment Related:Yes; Address of Outside Business:Garland, TX; Nature of Outside Business:Rental Property; Position:Owner; Start Date:6/1/2016; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Residential real estate property. Passive investment. Property management is company is used to collect rent and take care of any maintenance needed on the property. Name of Outside Business:Street Food Market 1234 LLC; Investment Related:No; Address of Outside Business:San Francisco, CA; Nature of Outside Business:Service Industry; Position:Minority Ownership; Start Date:9/3/2018; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Owner of preferred membership interests. Comes out to 0.625% of ownership. The LLC owns 4 restaurant locations in the Bay area. This is a passive investment where I will have zero day to day participation. The manager of the LLC will be involved with all of the operations of the company. Name: Verde Malo LLC, Role: Manager, Type: Real Estate, Start Date: 11/21/2019, Investment Related?: No, Address: 2440 McIntosh Way, Maitland, FL 32751, Number of Hours/Mo: 4, Duties: Locate investment opportunities. Analyze risk/reward. Invest capital. Monitor project. Collect capital. Re-invest. Name: Real Estate License - Commercial, Role: Agent, Type: REAL_ESTATE, Start Date: 02/01/2019, Investment Related?: No, Address: 2440 McIntosh Way, Maitland, FL 32751, Number of Hours/Mo: 10, Duties: Cold call landowners for corporate clients of the RE firm to see who is open to selling their property to the corporate clients. Rental Property |Investment Related:No|1421 Border Drive;Winter Park ;FL ;32789;USA|Real Estate (Non-Agent/Broker)|Owner|2017-02-13|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|Own rental property. Manage and supervise. Dommerich Elementary Fund| Investment Related: No| 601 N Thistle ;Maitland; FL;32751; USA| Nonprofit Charitable Organizations| Secretary |2022-05-30| Hours Per Month: Less than 20| Hours Spent during Security Trading: 1| Secretarial duties. Will not be touching funds, overseeing funds or doing anything investment related.

Exams

• S66 Uniform Combined State Law Examination
  2010-02-22
• S63 Uniform Securities Agent State Law Examination
  2007-01-21

Designations

Other Names

• Jamal Paul Rahman
• Jamal Paul Abdul-Rahman