James Blair Luippold

Current Employers

Employment History

• 06/2007 → 02/2018
  First Allied Securities, Inc.
  San Diego, CA
• 07/2012 → 02/2018
  First Allied Advisory Services, Inc.
  Chesterfield, MO
• 02/2018 → Present
  Private Client Services
  Louisville, KY
• 10/2015 → Present
  Castle Rock Wealth Management
  Walnut Creek, CA

Previous Registrations

• 2012-07-02 → 2018-02-13
  First Allied Advisory Services, Inc.
  Chesterfield, MO
  Walnut Creek, CA
  Walnut Creek, CA
• 2008-01-08 → 2013-01-18
  Horizon Wealth Group, Llc.
  San Ramon, CA
• 2008-01-10 → 2012-07-23
  First Allied Securities, Inc.
  Redwood Shores, CA
  Phoenix, AZ
  Walnut Creek, CA
  Scottsdale, AZ
  San Ramon, CA

Other Businesses

1.) Conservatorship for handicapped family member, 4 hrs/month, not during trading hrs/non-investment related. 2.) CASTLE ROCK WEALTH MANAGEMENT LLC; OWNER; RIA; START DATE 04/29/2015; 160 HOURS PER MONTH. 3.) Successor trustee for family members' trust, 1 hr/month not during trading hrs. non-investment related. 4.) Christ the King Church Finance Committee, Pleasant Hill, CA. Council member, 2-4 hrs/month, not during trading hrs. Non-investment related. 5.) Insurance Sales with various carriers, 1777 Botelho Drive, Suite 105, Walnut Creek, CA 94596. 8 hours/mo; 1-2 hours/mo during trading hours. 6)Upper Left Quadrant, Partner, Investment Related, 1777 Botehlo Drive, STE 105, Walnut Creek, CA, 94596, Real Estate investment, 06/2021, 2 hours per mo, 2 hours per mo. 7) Pineapples Baseball Club. 1777 Botelho Drive, Ste 105, Walnut Creek, CA 94598. 8U baseball team. Part-time coach/treasury. Manage check book. Jen and I are supporting this team financially. 16 hrs/mo; 0 during trading hrs.

Exams

• S65 Uniform Investment Adviser Law Examination
  2007-12-29
• S63 Uniform Securities Agent State Law Examination
  2001-11-07