Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningEducation PlanningFinancial Planning & CoachingInsurance PlanningBusiness OwnersHigh Net Worth
Compensation
Fee-Only (AUM)
Firm Size
7 advisors
Number of Clients
1,900 clients
Average Client Portfolio
$275K average
Assets Under Management
$521.8M

Fee Structure

Financial Planning:Included in AUM fee
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Location

Kellogg,, ID

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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.

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Other Business Activities

Joan owns rental real estate as a passive investment, dedicating minimal time. She also works as an investment advisory representative for Castle Rock Wealth Management LLC, working full-time.

Employment History
Current Registrations
Castle Rock Wealth Management, LLC
December 2016 - Present · 9 yrs 2 mos
Previous Registrations
Private Client Services, LLCBroker
February 2018 - October 2019 · 1 yr 8 mos
First Allied Securities, INC.Broker
December 1994 - February 2018 · 23 yrs 2 mos
First Affiliated SecuritiesBroker
May 1989 - December 1994 · 5 yrs 7 mos
First Affiliated Securities, INC.Broker
April 1985 - May 1989 · 4 yrs 1 mo
Painewebber IncorporatedBroker
September 1984 - May 1985 · 8 mos
Sutro & CO. IncorporatedBroker
August 1983 - September 1984 · 1 yr 1 mo
Addison Securities, INC.Broker
November 1982 - October 1983 · 11 mos
Arlington Interurban Securities, INC.Broker
January 1981 - February 1984 · 3 yrs 1 mo
State Registrations2 states
CAID
Advisor
Exams
No exam information available for this advisor.