SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP. of SAN RAMON, CA is an SEC-registered investment adviser (CRD 132777). Regulatory assets under management: $102.0M.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Jeffrey Michael Warren | PRESIDENT; SHAREHOLDER | — |
| Peter Eriksson | CHIEF COMPLIANCE OFFICER | — |
| Richard Ree Morey | CHIEF COMPLIANCE OFFICER; PRESIDENT; TRUSTEE | — |
| Sherry Diane Morey | TRUSTEE | — |
| WARREN MICHAEL | PRESIDENT | — |
| MOREY RICHARD REE | CHIEF COMPLIANCE OFFICER; PRESIDENT/ CHIEF COMPLIANCE OFFICER; TRUSTEE | — |
| Morey Sherry Diane | TRUSTEE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-06-19 | regulatory | THE THE DEPARTMENT OF BUSINESS OVERSIGHT OF THE STATE OF CALIFORNIA (DBO) ALLEGED THAT ADVISER, IN CONTRADICTION OF STATE RULES UNDER CORPORATIONS CODE 25238 AND CALIFORNIA CODE OF REGULATIONS (CCR) SECTION 260.238, RELEASED A CLIENT'S FUNDS WITHOUT AUTHORIZATION OR PROPER CONSENT FROM THE ACCOUNT H… | Final | $45K |