JL
James B. Luippold
CASTLE ROCK WEALTH MANAGEMENT
WALNUT CREEK, CA 94596
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CRD#: 3031318
JL
Professional summary
James Blair Luippold is a registered financial advisor currently at CASTLE ROCK WEALTH MANAGEMENT, LLC located in Walnut Creek, California and PRIVATE CLIENT SERVICES, LLC located in Modesto, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 7 firms and has passed the Series 65, 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.) Conservatorship for handicapped family member, 4 hrs/month, not during trading hrs/non-investment related. 2.) CASTLE ROCK WEALTH MANAGEMENT LLC; OWNER; RIA; START DATE 04/29/2015; 160 HOURS PER MONTH. 3.) Successor trustee for family members' trust, 1 hr/month not during trading hrs. non-investment related. 4.) Christ the King Church Finance Committee, Pleasant Hill, CA. Council member, 2-4 hrs/month, not during trading hrs. Non-investment related. 5.) Insurance Sales with various carriers, 1777 Botelho Drive, Suite 105, Walnut Creek, CA 94596. 8 hours/mo; 1-2 hours/mo during trading hours. 6)Upper Left Quadrant, Partner, Investment Related, 1777 Botehlo Drive, STE 105, Walnut Creek, CA, 94596, Real Estate investment, 06/2021, 2 hours per mo, 2 hours per mo. 7) Pineapples Baseball Club. 1777 Botelho Drive, Ste 105, Walnut Creek, CA 94598. 8U baseball team. Part-time coach/treasury. Manage check book. Jen and I are supporting this team financially. 16 hrs/mo; 0 during trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view James Blair Luippold'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
October 7, 2015 - Present
CASTLE ROCK WEALTH MANAGEMENT, LLC
Office #1: 1777 Botelho Dr. Suite 105, Walnut Creek, CA 94596RIA
CRD#: 199513
WALNUT CREEK, CA
Current
February 12, 2018 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1700 Standiford Ave Suite 380, Modesto, CA 95350Office #2: 1777 Botelho Drive Suite 105, Walnut Creek, CA 94596RIA
BD
CRD#: 120222
Modesto, CA
Past
July 2, 2012 - February 13, 2018
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
WALNUT CREEK, CA
Past
January 10, 2008 - July 23, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
WALNUT CREEK, CA
Past
January 8, 2008 - January 18, 2013
HORIZON WEALTH GROUP, LLC.
RIA
CRD#: 144712
SAN RAMON, CA
Past
June 22, 2007 - February 13, 2018
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
WALNUT CREEK, CA
Past
May 4, 2005 - June 29, 2007
GENEOS WEALTH MANAGEMENT, INC.
BD
CRD#: 120894
SAN RAMON, CA
Past
January 12, 2001 - May 5, 2005
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
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
IAR
Arizona(6/7/2016)
RR
Arizona(2/12/2018)
IAR
California(10/7/2015)
RR
California(2/12/2018)
RR
Delaware(2/22/2019)
RR
District of Columbia(5/2/2024)
RR
Georgia(5/2/2023)
RR
Idaho(2/12/2018)
RR
Illinois(3/28/2025)
RR
New York(2/12/2018)
RR
North Carolina(12/13/2022)
RR
South Carolina(2/12/2018)
RR
Tennessee(8/5/2025)
IAR
Texas(5/12/2016)
RR
Texas(2/12/2018)
RR
Virginia(5/2/2024)
IAR
Washington(6/9/2016)
RR
Washington(2/12/2018)
Exams
State Security Law Exam
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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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CASTLE ROCK WEALTH MANAGEMENT, LLC
CRD#: 199513Walnut Creek, CA 94596TRUST BUT VERIFY
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