Joan F. Block

CASTLE ROCK WEALTH MANAGEMENT

KELLOGG,, ID

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CRD#: 722529

Professional summary

Joan Ferol Block, who also goes by Joan Byers, Byers Owen, Joan Ferol Owen, Joan Owen, Joan Ferol Wilhelm, is a registered financial advisor currently at CASTLE ROCK WEALTH MANAGEMENT, LLC located in Kellogg,, Idaho.

Joan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Joan has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joan Byers | Byers Owen | Joan Ferol Owen | Joan Owen | Joan Ferol Wilhelm

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.) JOAN BLOCK INVESTMENTS; REAL ESTATE(RENTAL PROPERTY/PASSIVE INVESTMENT; 1-5 hrs PER MONTH. 2.) CASTLE ROCK WEALTH MANAGEMENT LLC; INVESTMENT ADVISORY REP; 200 hrs/month, 100 during trading hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Ferol Block'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

December 1, 2016 - Present

CASTLE ROCK WEALTH MANAGEMENT, LLC

RIA

CRD#: 199513

KELLOGG,, ID

Past

February 12, 2018 - October 29, 2019

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

Kellogg, ID

Past

December 16, 1994 - February 13, 2018

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

KELLOGG, ID

Past

May 31, 1989 - December 16, 1994

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

April 11, 1985 - May 31, 1989

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

September 5, 1984 - May 6, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

August 5, 1983 - September 17, 1984

SUTRO & CO. INCORPORATED

CRD#: 801

Past

November 5, 1982 - October 13, 1983

PROSPERA FINANCIAL SERVICES, INC.

CRD#: 10740

Past

January 19, 1981 - February 6, 1984

SNIDER-LUND SECURITIES, INC.

CRD#: 6734

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.

Highlighted states indicate IAR registrations

IAR

California
(12/1/2016)

IAR

Idaho
(12/17/2018)

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: 8/25/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/19/1981

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: 1/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/22/2008

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/23/1999

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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Joan F. Block

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan Ferol Block's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

FIRST AFFILIATED SECURITIES

FIRST AFFILIATED SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

SUTRO & CO. INCORPORATED

PROSPERA FINANCIAL SERVICES, INC.

SNIDER-LUND SECURITIES, INC.

Primary Firm SEC Registration

CASTLE ROCK WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/2016

Series 63

Date: 2/19/1981

SIE

Date: 10/1/2018

Series 7

Date: 1/17/1981

Series 4

Date: 11/22/2008

Series 24

Date: 6/23/1999

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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