James Luippold has been Managing Member of Castle Rock Wealth Management since June 2015, is a control person of the firm and directly owns 75% or more of it.
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.
James Luippold’s longest registration is the current one, 11 years at Castle Rock Wealth Management since 2015. Before joining Castle Rock Wealth Management in 2015, James Luippold was registered through First Allied Advisory Services, Inc. and First Allied Securities, Inc.
- – present · 11 yearsWalnut Creek, CA · Adviser representative · Firm CRD 199513
- First Allied Advisory Services, Inc.– · 5 yearsWalnut Creek, CA · Adviser representative · Firm CRD 137888
- First Allied Securities, Inc.– · 4 yearsWalnut Creek, CA · Adviser representative · Firm CRD 32444
- Horizon Wealth Group, LLC.– · 5 yearsSan Ramon, CA · Adviser representative · Firm CRD 144712
Investment adviser representative registrations
James Luippold is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from October 2015; the most recent is Washington, in June 2016.
- ArizonaSince 7 June 2016
- CaliforniaSince 7 October 2015
- TexasResidentSince 12 May 2016
- WashingtonSince 9 June 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 29 December 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 November 2001 |
| Series 7 | General Securities Representative Examination | 11 January 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Blair Luippold
- CRD
- 3031318
- Firm
- Castle Rock Wealth Management · CRD 199513
- Role
- Managing Member
- Office
- 1777 BOTELHO DR., SUITE 105, Walnut Creek, CA 94596
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 2001
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Luippold work?
James Luippold has been Managing Member of Castle Rock Wealth Management, LLC since June 2015, and is a control person of the firm.
Is James Luippold a financial advisor?
Yes. James Luippold has a current investment-adviser registration in Arizona, California, Texas and Washington, through Castle Rock Wealth Management since October 2015.
How many years of experience does James Luippold have?
James Luippold has 25 years in the financial industry, since January 2001, across 4 adviser firms.
What exams has James Luippold passed?
James Luippold has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in January 2001. FINRA credited James Luippold with the SIE, which began in October 2018.
Where did James Luippold work before Castle Rock Wealth Management?
Before Castle Rock Wealth Management, James Luippold was registered through First Allied Securities, Inc., January 2008 to July 2012; Horizon Wealth Group, LLC., January 2008 to January 2013.
Where is James Luippold based?
James Luippold’s registered office is in Walnut Creek, CA.
Is James Luippold registered with FINRA?
Yes. James Luippold has a current broker registration, under CRD 3031318.
Source: FINRA BrokerCheck
How can I verify James Luippold’s record?
Search CRD 3031318 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Luippold’s full registration record.
- Jennifer LuippoldChief Compliance Officer