Jennifer M. Mitchell

CASTLE ROCK WEALTH MANAGEMENT

Walnut Creek, CA 94596

Some features on this profile are disabled

CRD#: 2426449

Professional summary

Jennifer M Mitchell, who also goes by Jennifer M Goldman, Jennifer Marie Mitchell, Jennifer M Mitchell-goldman, Jennifer M Mitchellgoldman, 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.

Jennifer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Jennifer has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jennifer M Goldman | Jennifer Marie Mitchell | Jennifer M Mitchell-Goldman | Jennifer M Mitchellgoldman

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 Jennifer M Mitchell'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

November 17, 2016 - Present

CASTLE ROCK WEALTH MANAGEMENT, LLC

Office #1: 1777 Botelho Dr. Suite 105, Walnut Creek, CA 94596

RIA

CRD#: 199513

Walnut Creek, CA

Current

February 12, 2018 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 1777 Botelho Drive Suite 105, Walnut Creek, CA 94596

RIA

CRD#: 120222

Walnut Creek, CA

Past

July 2, 2012 - February 13, 2018

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

SAN RAMON, CA

Past

May 27, 2008 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

WALNUT CREEK, CA

Past

June 13, 2005 - February 13, 2018

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

WALNUT CREEK, CA

Past

June 2, 2004 - December 31, 2015

PACIFIC ASSET MANAGEMENT GROUP

RIA

CRD#: 131626

SAN RAMON, CA

Past

March 4, 1996 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

December 17, 1993 - March 29, 1996

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

CRD#: 7404

NEW YORK, NY

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.

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

Arizona
(12/20/2023)

IAR

California
(11/17/2016)

California
(2/12/2018)

Maryland
(1/2/2025)

Ohio
(1/3/2022)

Texas
(12/5/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/20/1993

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: 11/17/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/16/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Contact information

xxxxx@xxxx.xxx

Similar Advisors

John Israel

STRATEGIC ADVISERS LLC

IAR

SAN RAMON, CA

Jason Cooke

EDELMAN FINANCIAL ENGINES

IAR

DANVILLE, CA

Daniel Torres

EAGLE STRATEGIES LLC

IAR

BRENTWOOD, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jennifer M. Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jennifer M Mitchell's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

PACIFIC ASSET MANAGEMENT GROUP

ROUND HILL SECURITIES, INC.

MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.

Primary Firm SEC Registration

CASTLE ROCK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/1998

Series 63

Date: 12/20/1993

SIE

Date: 10/1/2018

Series 7

Date: 11/17/1994

Series 6

Date: 12/16/1993

FINRA

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

Contact information

Similar Advisors