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Advisor at CASTLE ROCK WEALTH MANAGEMENT, LLC
WALNUT CREEK, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| CASTLE ROCK WEALTH MANAGEMENT, LLC | Independent wealth | May 11, 2016 | n/a | yes | WALNUT CREEK, CA | Current employment |
| FIRST ALLIED ADVISORY SERVICES, INC. | Former SEC adviser | Jul 2, 2012 | Feb 13, 2018 | no | CHESTERFIELD, MO|WALNUT CREEK, CA|WALNUT CREEK, CA | Previous registration |
| FIRST ALLIED SECURITIES, INC. | Former SEC adviser | Jan 10, 2008 | Jul 23, 2012 | no | REDWOOD SHORES, CA|PHOENIX, AZ|WALNUT CREEK, CA|SCOTTSDALE, AZ|SAN RAMON, CA | Previous registration |
| HORIZON WEALTH GROUP, LLC. | n/a | Jan 8, 2008 | Jan 18, 2013 | no | SAN RAMON, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FIRST ALLIED ADVISORY SERVICES, INC. | CASTLE ROCK WEALTH MANAGEMENT, LLC | Feb 13, 2018 | May 11, 2016 | -643 | Firm change after gap | Other |
| HORIZON WEALTH GROUP, LLC. | FIRST ALLIED SECURITIES, INC. | Jan 18, 2013 | Jan 10, 2008 | -1,835 | Firm change after gap | Other |
| FIRST ALLIED SECURITIES, INC. | FIRST ALLIED ADVISORY SERVICES, INC. | Jul 23, 2012 | Jul 2, 2012 | -21 | Bulk transfer | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 137888:199513:CA:2018-02-13 | Feb 13, 2018 | May 11, 2016 | WALNUT CREEK, CA | Firm change after gap |