James Blair Luippold

Private Client Services, LLC

24 Years of Experience

BrokerSells Insurance

View SEC Summary

Areas of Practice

Investment Management

Private Client Services, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

633 advisors

Number of Clients

3,251 clients

Average Client Portfolio

$323K average

Assets Under Management

$1.1B

Location

1777 Botelho Dr., Suite 105, Walnut Creek, CA, 94596

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Other Business ActivitiesSells Insurance

James is the owner of Castle Rock Wealth Management LLC, a registered investment advisor, dedicating full-time hours to it. He also engages in insurance sales with various carriers and is involved in real estate investment as a partner at Upper Left Quadrant.

Employment History

Current Registrations

Private Client Services, LLCBroker

February 2018 - Present · 8 yrs

Castle Rock Wealth Management, LLC

October 2015 - Present · 10 yrs 4 mos

Previous Registrations

First Allied Advisory Services, INC.

July 2012 - February 2018 · 5 yrs 7 mos

First Allied Securities, INC.

January 2008 - July 2012 · 4 yrs 6 mos

Horizon Wealth Group, LLC.

January 2008 - January 2013 · 5 yrs

Horizon Wealth Group, LLC.

January 2008 - December 2007 · 0 mos

First Allied Securities, INC.Broker

June 2007 - February 2018 · 10 yrs 8 mos

Geneos Wealth Management, INC.Broker

May 2005 - June 2007 · 2 yrs 1 mo

Securities America, INC.Broker

January 2001 - May 2005 · 4 yrs 4 mos

State Registrations14 states

AZCADCDEGAIDILNCNYSCTNTXVAWA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.