Jennifer Mitchell has been an investment adviser representative at Castle Rock Wealth Management since November 2016, 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.
Jennifer Mitchell’s longest registration was 11 years at Pacific Asset Management Group (2004–2015). Before joining Castle Rock Wealth Management in 2016, Jennifer Mitchell was registered through First Allied Advisory Services, Inc. and First Allied Securities, Inc.
- – present · 9 yearsWalnut Creek, CA · Adviser representative · Firm CRD 199513
- First Allied Advisory Services, Inc.– · 5 yearsSan Ramon, CA · Adviser representative · Firm CRD 137888
- First Allied Securities, Inc.– · 4 yearsWalnut Creek, CA · Adviser representative · Firm CRD 32444
- Pacific Asset Management Group– · 11 yearsSan Ramon, CA · Adviser representative · Firm CRD 131626
Investment adviser representative registrations
Jennifer Mitchell is registered as an investment adviser representative in California, since November 2016.
- CaliforniaSince 17 November 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 29 December 1998 |
| Series 7 | General Securities Representative Examination | 17 November 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 December 1993 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 16 December 1993 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Jennifer M Mitchell
- CRD
- 2426449
- 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
- December 1993
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Jennifer Mitchell work?
Jennifer Mitchell is an investment adviser representative registered through Castle Rock Wealth Management, LLC since November 2016, and is not listed among the firm’s executive officers or direct owners.
Is Jennifer Mitchell a financial advisor?
Yes. Jennifer Mitchell has a current investment-adviser registration in California, through Castle Rock Wealth Management since November 2016.
How many years of experience does Jennifer Mitchell have?
Jennifer Mitchell has 32 years in the financial industry, since December 1993, across 4 adviser firms.
What exams has Jennifer Mitchell passed?
Jennifer Mitchell has passed 4 licensing exams: the Series 6, Series 63, Series 7 and Series 65. The earliest, the Series 6, was passed in December 1993. FINRA credited Jennifer Mitchell with the SIE, which began in October 2018.
Where did Jennifer Mitchell work before Castle Rock Wealth Management?
Before Castle Rock Wealth Management, Jennifer Mitchell was registered through First Allied Securities, Inc., May 2008 to July 2012; Pacific Asset Management Group, June 2004 to December 2015.
Where is Jennifer Mitchell based?
Jennifer Mitchell’s registered office is in Walnut Creek, CA.
Is Jennifer Mitchell registered with FINRA?
Yes. Jennifer Mitchell has a current broker registration, under CRD 2426449.
Source: FINRA BrokerCheck
How can I verify Jennifer Mitchell’s record?
Search CRD 2426449 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Jennifer Mitchell’s full registration record.
- Jennifer LuippoldChief Compliance Officer
- James LuippoldManaging Member