Joyce Moe has been an investment adviser representative at Castle Rock Wealth Management since July 2018, 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.
Joyce Moe’s longest registration was 8 years at Brecek & Young Advisors, Inc. (2000–2009). Before joining Castle Rock Wealth Management in 2018, Joyce Moe was registered through J. W. Cole Advisors, Inc. and Financial Advisers of America, LLC.
- – present · 8 yearsModesto, CA · Adviser representative · Firm CRD 199513
- J. W. Cole Advisors, Inc.– · 5 yearsModesto, CA · Adviser representative · Firm CRD 112294
- Financial Advisers of America, LLC– · 1 yearModesto, CA · Adviser representative · Firm CRD 142170
- Securities America Advisors, Inc.– · 2 yearsLavista, NE · Adviser representative · Firm CRD 110518
- Brecek & Young Advisors, Inc.– · 8 yearsModesto, CA · Adviser representative · Firm CRD 40395
Investment adviser representative registrations
Joyce Moe is registered as an investment adviser representative in California, since July 2018.
- CaliforniaSince 18 July 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 26 September 1997 |
| Series 7 | General Securities Representative Examination | 3 September 1997 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joyce Elinor Moe
- CRD
- 2939658
- Firm
- Castle Rock Wealth Management · CRD 199513
- Office
- 1700 STANDIFORD AVE Suite 380, Modesto, CA 95350
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 1997
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Joyce Moe work?
Joyce Moe is an investment adviser representative registered through Castle Rock Wealth Management, LLC since July 2018, and is not listed among the firm’s executive officers or direct owners.
Is Joyce Moe a financial advisor?
Yes. Joyce Moe has a current investment-adviser registration in California, through Castle Rock Wealth Management since July 2018.
How many years of experience does Joyce Moe have?
Joyce Moe has 29 years in the financial industry, since September 1997, across 5 adviser firms.
What exams has Joyce Moe passed?
Joyce Moe has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in September 1997. FINRA credited Joyce Moe with the SIE, which began in October 2018.
Where did Joyce Moe work before Castle Rock Wealth Management?
Before Castle Rock Wealth Management, Joyce Moe was registered through J. W. Cole Advisors, Inc., May 2013 to July 2018; Financial Advisers of America, LLC, July 2011 to May 2013; Securities America Advisors, Inc., January 2009 to July 2011; Brecek & Young Advisors, Inc., June 2000 to January 2009.
Where is Joyce Moe based?
Joyce Moe’s registered office is in Modesto, CA.
Is Joyce Moe registered with FINRA?
Yes. Joyce Moe has a current broker registration, under CRD 2939658.
Source: FINRA BrokerCheck
How can I verify Joyce Moe’s record?
Search CRD 2939658 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Joyce Moe’s full registration record.
- Jennifer LuippoldChief Compliance Officer
- James LuippoldManaging Member