JM
Joyce E. Moe
CASTLE ROCK WEALTH MANAGEMENT
Modesto, CA 95350
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CRD#: 2939658
JM
Professional summary
Joyce Elinor Moe is a registered financial advisor currently at CASTLE ROCK WEALTH MANAGEMENT, LLC located in Modesto, California and PRIVATE CLIENT SERVICES, LLC located in Modesto, California.
Joyce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Joyce has worked at 8 firms and has passed the Series 63, SIE and Series 7 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.
1) TEACHER. 426 LOCUST ST. SPECIAL EDUCATION TEACHER. 160 HOURS/MO; 100 DURING TRADING HOURS. 2) Voya - Insurance Sales - Insurance Agent - PO Box 617, Des Moines, IA 50303 - 8 hours/month. 3) Great American Insurance Group - Insurance Sales - Insurance Agent - PO Box 5425, Cincinnati, OH 45201 - 2 hours/month. 4) Castle Rock Wealth Management. 1777 Botelho Dr, Ste 105, Walnut Creek, CA 94596. RIA - Investment Advisory. IAR. 40 hours/mo; 5 during trading hours. 5) Insurance Sales. Voya/Relistar Life Insurance Co. 403B, Independent Agent Fixed/Variable Annuities. 1 hr/mo;1 during trading hrs. 6) Senior Advocacy Network. 821 13th St, Ste A, Modesto, CA 95354. The organization helps seniors in need of legal assistance who cannot afford traditional legal services. Board member. 1 hr/mo; 0 during trading hrs. Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Joyce Elinor Moe'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®
NoneExperience
Current
July 18, 2018 - Present
CASTLE ROCK WEALTH MANAGEMENT, LLC
Office #1: 1700 Standiford Ave Suite 380, Modesto, CA 95350RIA
CRD#: 199513
Modesto, CA
Current
July 18, 2018 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1700 Standiford Ave Suite 380, Modesto, CA 95350RIA
BD
CRD#: 120222
Modesto, CA
Past
May 10, 2013 - July 18, 2018
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
MODESTO, CA
Past
May 10, 2013 - July 18, 2018
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
MODESTO, CA
Past
July 7, 2011 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
RIA
CRD#: 142170
MODESTO, CA
Past
July 1, 2011 - May 10, 2013
FINANCIAL ADVISERS OF AMERICA, LLC
BD
CRD#: 142170
MODESTO, CA
Past
January 23, 2009 - July 6, 2011
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LAVISTA, NE
Past
January 23, 2009 - July 6, 2011
SECURITIES AMERICA, INC.
BD
CRD#: 10205
MODESTO, CA
Past
June 29, 2000 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
RIA
CRD#: 40395
MODESTO, CA
Past
September 5, 1997 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
BD
CRD#: 40395
MODESTO, 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".
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(7/18/2018)
IAR
California(7/18/2018)
RR
Washington(7/18/2018)
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#: 199513Modesto, CA 95350TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
