Peter R. Albano

CASTLE ROCK WEALTH MANAGEMENT

Monterey, CA 93940-2681

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CRD#: 1102955

Professional summary

Peter Robert Albano is a registered financial advisor currently at CASTLE ROCK WEALTH MANAGEMENT, LLC located in Monterey, California.

Peter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Peter has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Robert Albano's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 1, 2018 - Present

CASTLE ROCK WEALTH MANAGEMENT, LLC

Office #1: 2511 Garden Rd Ste C125, Monterey, CA 93940-2681

RIA

CRD#: 199513

Monterey, CA

Past

December 6, 2017 - April 25, 2019

ALBANO INVESTMENT MANAGEMENT

RIA

CRD#: 132693

MONTEREY, CA

Past

June 3, 2005 - November 29, 2018

INSIGHT SECURITIES, INC.

RIA

CRD#: 5611

MONTEREY, CA

Past

June 30, 2004 - November 29, 2018

INSIGHT SECURITIES, INC.

CRD#: 5611

MONTEREY, CA

Past

March 26, 1999 - June 30, 2004

GOLDEN TRIANGLE SECURITIES LLC

CRD#: 45641

CARMEL, CA

Past

February 21, 1995 - April 9, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 15, 1989 - February 28, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

November 25, 1985 - January 1, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 21, 1985 - November 14, 1985

QUOX, INCORPORATED

CRD#: 8446

Past

March 22, 1983 - May 21, 1985

PORTFOLIO STRATEGIES, INC.

CRD#: 6455

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CASTLE ROCK WEALTH MANAGEMENT, LLC

CASTLE ROCK WEALTH MANAGEMENT, LLC | SC RETIREMENT

CRD#: 199513 / SEC#: 801-110593

RIA

Registered Investment Advisory firm - (6/9/2017 Approved)

Arizona

Registered Investment Advisory firm - (6/12/2017 Terminated)

California

Registered Investment Advisory firm - (7/12/2017 Terminated)

Idaho

Registered Investment Advisory firm - (6/12/2017 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2017 Terminated)

Washington

Registered Investment Advisory firm - (6/19/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(10/1/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/10/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/6/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/20/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/18/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/1/1983

General Securities Principal Examination

Current Firm

CASTLE ROCK WEALTH MANAGEMENT, LLC

CASTLE ROCK WEALTH MANAGEMENT, LLC | SC RETIREMENT

CRD#: 199513 / SEC#: 801-110593

RIA

Registered Investment Advisory firm - (6/9/2017 Approved)

Arizona

Registered Investment Advisory firm - (6/12/2017 Terminated)

California

Registered Investment Advisory firm - (7/12/2017 Terminated)

Idaho

Registered Investment Advisory firm - (6/12/2017 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2017 Terminated)

Washington

Registered Investment Advisory firm - (6/19/2017 Terminated)

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Contact information

Main Address

1777 Botelho Dr. Suite 105, Walnut Creek, CA 94596

Mailing Address

Phone number

(925) 478-8800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASTLE ROCK WEALTH MANAGEMENT ADV PART 2 (4/29/2025)

Regulatory assets under management

Total Number of Accounts	1,904
AUM (Assets Under Management)	$ 521,757,846

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Peter R. Albano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter Robert Albano's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALBANO INVESTMENT MANAGEMENT

INSIGHT SECURITIES, INC.

INSIGHT SECURITIES, INC.

GOLDEN TRIANGLE SECURITIES LLC

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

QUOX, INCORPORATED

PORTFOLIO STRATEGIES, INC.

Primary Firm SEC Registration

CASTLE ROCK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2004

Series 63

Date: 12/6/1985

SIE

Date: 10/1/2018

Series 55

Date: 11/20/2002

Series 7

Date: 3/19/1983

Series 53

Date: 7/18/2001

Series 24

Date: 4/1/1983

Current Firm

CASTLE ROCK WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASTLE ROCK WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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