Cynthia M. Macleod

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CRD#: 1937283

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Cynthia Moyer Macleod, who also goes by Cynthia Jean Moyer, was a registered financial professional .

Cynthia is a previously registered financial professional and started their career in finance in 1995. Cynthia had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cynthia Jean Moyer

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 16, 2022 - June 7, 2023

CASTLE ROCK WEALTH MANAGEMENT, LLC

RIA

CRD#: 199513

Asheville, NC

Past

March 11, 2022 - December 12, 2022

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

ASHEVILLE, NC

Past

August 1, 2006 - March 11, 2022

NPB FINANCIAL GROUP, LLC

RIA

CRD#: 137743

Asheville, NC

Past

August 1, 2006 - March 11, 2022

NPB FINANCIAL GROUP, LLC

CRD#: 137743

Asheville, NC

Past

October 12, 1995 - August 1, 2006

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

SAN FRANCISCO, CA

Past

July 14, 1995 - August 1, 2006

ASSOCIATED SECURITIES CORP.

CRD#: 12969

DANVILLE, CA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 10/12/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/18/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/3/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/14/1996

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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Advisor Monitoring

Firm Stability Insights

Cynthia M. Macleod

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CASTLE ROCK WEALTH MANAGEMENT, LLC

PRIVATE CLIENT SERVICES, LLC

NPB FINANCIAL GROUP, LLC

NPB FINANCIAL GROUP, LLC

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

Primary Firm SEC Registration

CASTLE ROCK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/1995

Series 63

Date: 7/18/1995

SIE

Date: 10/1/2018

Series 7

Date: 7/3/1995

Series 24

Date: 2/14/1996

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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