Dean O. Leonard
CASTLE ROCK WEALTH MANAGEMENT
Walnut Creek, CA 94596
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CRD#: 1275073
Professional summary
Dean Otis Leonard, CFP® is a registered financial advisor currently at CASTLE ROCK WEALTH MANAGEMENT, LLC located in Walnut Creek, California and PRIVATE CLIENT SERVICES, LLC located in Walnut Creek, California.
Dean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Dean has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Insurance Planning
Investment Planning
Comprehensive Financial Planni...
Retirement Planning
Education Planning
Estate Planning
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.
1) Castle Rock Wealth Management. 1777 Botelho Drive, Suite 105, Walnut Creek, CA 94596. RIA. 40 hrs/mo; 2 during trading hrs. 2) Insurance. 1777 Botelho Drive, Suite 105, Walnut Creek, CA 94596. Insurance agent. Sales and service of fixed insurance, accident and health, long term care, etc. 5 hrs/mo; 5 during trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Dean Otis Leonard's 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®
CFP®
Start date: 1987
Experience
Current
September 5, 2023 - Present
CASTLE ROCK WEALTH MANAGEMENT, LLC
Office #1: 1777 Botelho Dr. Suite 105, Walnut Creek, CA 94596RIA
CRD#: 199513
Walnut Creek, CA
Current
September 5, 2023 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1777 Botelho Drive Suite 105, Walnut Creek, CA 94596RIA
BD
CRD#: 120222
Walnut Creek, CA
Past
February 14, 2017 - March 29, 2018
NWF ADVISORY SERVICES INC
RIA
CRD#: 110410
Campbell, CA
Past
July 8, 1997 - April 18, 2017
WHJR ASSOCIATES
RIA
CRD#: 113269
CAMPBELL, CA
Past
November 19, 1989 - September 6, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
WALNUT CREEK, CA
Past
June 23, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
August 27, 1984 - June 23, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
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".
CR
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)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(9/5/2023)
IAR
California(9/5/2023)
RR
New York(9/5/2023)
RR
Oregon(12/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CR
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)Upgrade to AdvisorCheck Premium
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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
8
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,904 |
| AUM (Assets Under Management) | $ 521,757,846 |
Red Flags
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Company Information
CASTLE ROCK WEALTH MANAGEMENT, LLC
CRD#: 199513Walnut Creek, CA 94596TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
