Dean Leonard has been an investment adviser representative at Castle Rock Wealth Management since September 2023, and is not listed among the firm’s executive officers or direct owners.
Castle Rock Wealth Management, LLC is a Walnut Creek, CA firm with $587M under management, 2,040 clients and 7 advisers across 6 offices, as of its March 2026 filing.
Dean Leonard’s longest registration was 19 years at WHJR Associates (1997–2017). Before joining Castle Rock Wealth Management in 2023, Dean Leonard was registered through NWF Advisory Services Inc and WHJR Associates.
- – present · 3 yearsWalnut Creek, CA · Adviser representative · Firm CRD 199513
- NWF Advisory Services Inc– · 1 yearCampbell, CA · Adviser representative · Firm CRD 110410
- WHJR Associates– · 19 yearsCampbell, CA · Adviser representative · Firm CRD 113269
Investment adviser representative registrations
Dean Leonard is registered as an investment adviser representative in California, since September 2023.
- CaliforniaSince 5 September 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 24 January 1985 |
| Series 7 | General Securities Representative Examination | 18 August 1984 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Dean Otis Leonard
- CRD
- 1275073
- Firm
- Castle Rock Wealth Management · CRD 199513
- Office
- 1777 BOTELHO DR., SUITE 105, Walnut Creek, CA 94596
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1984
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Dean Leonard work?
Dean Leonard is an investment adviser representative registered through Castle Rock Wealth Management, LLC since September 2023, and is not listed among the firm’s executive officers or direct owners.
Is Dean Leonard a financial advisor?
Yes. Dean Leonard has a current investment-adviser registration in California, through Castle Rock Wealth Management since September 2023.
How many years of experience does Dean Leonard have?
Dean Leonard has 42 years in the financial industry, since August 1984, across 3 adviser firms.
What exams has Dean Leonard passed?
Dean Leonard has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in August 1984. FINRA credited Dean Leonard with the SIE, which began in October 2018.
Where did Dean Leonard work before Castle Rock Wealth Management?
Before Castle Rock Wealth Management, Dean Leonard was registered through NWF Advisory Services Inc, February 2017 to March 2018; WHJR Associates, July 1997 to April 2017.
Where is Dean Leonard based?
Dean Leonard’s registered office is in Walnut Creek, CA.
Is Dean Leonard registered with FINRA?
Yes. Dean Leonard has a current broker registration, under CRD 1275073.
Source: FINRA BrokerCheck
How can I verify Dean Leonard’s record?
Search CRD 1275073 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Dean Leonard’s full registration record.
- Jennifer LuippoldChief Compliance Officer
- James LuippoldManaging Member