Joan Block has been an investment adviser representative at Castle Rock Wealth Management since December 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.
- – present · 9 yearsKellogg,, ID · Adviser representative · Firm CRD 199513
Investment adviser representative registrations
Joan Block is registered as an investment adviser representative in 2 states. The first approvals date from December 2016; the most recent is Idaho, in December 2018.
- CaliforniaSince 1 December 2016
- IdahoSince 17 December 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 25 August 2016 |
| Series 4 | Registered Options Principal Examination | 22 November 2008 |
| Series 24 | General Securities Principal Examination | 23 June 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 February 1981 |
| Series 7 | General Securities Representative Examination | 17 January 1981 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joan Ferol Block
- CRD
- 722529
- Firm
- Castle Rock Wealth Management · CRD 199513
- Office
- Kellogg,, ID
- Registration
- Investment adviser registration
- In the industry since
- January 1981
- Disciplinary history
- Not yet shown here · SEC record
Where does Joan Block work?
Joan Block is an investment adviser representative registered through Castle Rock Wealth Management, LLC since December 2016, and is not listed among the firm’s executive officers or direct owners.
Is Joan Block a financial advisor?
Yes. Joan Block has a current investment-adviser registration in California and Idaho, through Castle Rock Wealth Management since December 2016.
How many years of experience does Joan Block have?
Joan Block has 45 years in the financial industry, since January 1981, across 1 adviser firm.
What exams has Joan Block passed?
Joan Block has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 4 and Series 65. The earliest, the Series 7, was passed in January 1981. FINRA credited Joan Block with the SIE, which began in October 2018.
Where is Joan Block based?
Joan Block’s registered office is in Kellogg,, ID.
Is Joan Block registered with FINRA?
No. Joan Block has no current broker registration.
How can I verify Joan Block’s record?
Search CRD 722529 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joan Block’s full registration record.
- Jennifer LuippoldChief Compliance Officer
- James LuippoldManaging Member