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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

JOYCE ELINOR MOE

Advisor at CASTLE ROCK WEALTH MANAGEMENT, LLC

Modesto, CA | WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:655d134d-e869-50b7-5f2f-bdf99ddf925c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 29, 2000 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CASTLE ROCK WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 1, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Sep 26, 1997
First registration: Jun 29, 2000
Dual registered: yes, broker-dealer
IAPD individual key: 2939658

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CASTLE ROCK WEALTH MANAGEMENT, LLC	Independent wealth	Jul 18, 2018	n/a	yes	WALNUT CREEK, CA\|Modesto, CA	Current employment
J. W. COLE ADVISORS, INC.	Bd affiliated wealth	May 10, 2013	Jul 18, 2018	no	TAMPA, FL\|MODESTO, CA\|MODESTO, CA	Previous registration
FINANCIAL ADVISERS OF AMERICA, LLC	Former SEC adviser	Jul 7, 2011	May 10, 2013	no	CARLSBAD, CA\|CARLSBAD, CA\|MODESTO, CA	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jan 23, 2009	Jul 6, 2011	no	LAVISTA, NE	Previous registration
BRECEK & YOUNG ADVISORS, INC.	Former SEC adviser	Jun 29, 2000	Jan 23, 2009	no	FOLSOM, CA\|MODESTO, CA\|MODESTO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
J. W. COLE ADVISORS, INC.	CASTLE ROCK WEALTH MANAGEMENT, LLC	Jul 18, 2018	Jul 18, 2018	0	Firm change	RIA to RIA
FINANCIAL ADVISERS OF AMERICA, LLC	J. W. COLE ADVISORS, INC.	May 10, 2013	May 10, 2013	0	Bulk transfer	Other
SECURITIES AMERICA ADVISORS, INC.	FINANCIAL ADVISERS OF AMERICA, LLC	Jul 6, 2011	Jul 7, 2011	1	Firm change	Other
BRECEK & YOUNG ADVISORS, INC.	SECURITIES AMERICA ADVISORS, INC.	Jan 23, 2009	Jan 23, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ CASTLE ROCK WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Jul 18, 2018 to presentfactForm ADV
→ J. W. COLE ADVISORS, INC.Registered adviserregistration: previous registration
May 10, 2013 to Jul 18, 2018factForm ADV
→ FINANCIAL ADVISERS OF AMERICA, LLCRegistered adviserregistration: previous registration
Jul 7, 2011 to May 10, 2013factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jan 23, 2009 to Jul 6, 2011factForm ADV
→ BRECEK & YOUNG ADVISORS, INC.Registered adviserregistration: previous registration
Jun 29, 2000 to Jan 23, 2009factForm ADV

Dated events

No dated event names this entity yet.