SECURE INVESTMENT MANAGEMENT, LLC of TUCSON, AZ is an SEC-registered investment adviser (CRD 141195). Regulatory assets under management: $42.9M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth.
| Name | Role | Location |
|---|---|---|
| JOSHUA DAVID MELLBERG | MANAGING MEMBER/OWNER; OWNER | TUCSON, AZ |
| Matthew David Rothchild | CHIEF COMPLIANCE OFFICER | — |
| Janice Marie Powell | CHIEF COMPLIANCE OFFICER | — |
| Otto Ramon Bohon | CHIEF OPERATING OFFICER | — |
| ROBINSON CHRISTOPHER MICHAEL | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | — |
| LEPORE KENNETH | CHIEF COMPLIANCE OFFICER | — |
| MELLBERG JOSHUA DAVID | MANAGING MEMBER/OWNER | — |
| MATTHEW BRENT | PRINCIPAL/MANAGING MEMBER; PRINCIPAL/MANAGING MEMBER/OWNER | — |
| POWELL JANICE MARIE | CHIEF COMPLIANCE OFFICER | — |
| MORGAN II FRANK EDWARD | GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER | — |
| ROTHCHILD MATTHEW DAVID | CHIEF COMPLIANCE OFFICER | — |
| BOHON OTTO RAMON | CHIEF OPERATING OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2015-07-07 | regulatory | IN 2014, AN INVESTMENT ADVISER REPRESENTATIVE EMPLOYED WITH RESPONDENT ENTERED INTO INVESTMENT ADVISORY AGREEMENTS WITH FIVE KANSAS CLIENTS WHILE NEITHER REGISTERED NO EXEMPT FROM REGISTRATION AS AN INVESTMENT ADVISER REPRESENTATIVE IN KANSAS. DURING THE RELEVANT TIME PERIOD, RESPONDENT WAS NOT REGI… | Final | $5K |