James J. Beaupre
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Joseph Beaupre, who also goes by Jim Beaupre, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2007. James had worked at 6 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2020 - February 16, 2023
SECURE INVESTMENT MANAGEMENT, LLC
January 8, 2016 - March 12, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 8, 2016 - March 12, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 18, 2012 - January 20, 2016
BANCWEST INVESTMENT SERVICES, INC.
October 18, 2012 - January 20, 2016
BANCWEST INVESTMENT SERVICES, INC.
April 4, 2011 - October 16, 2012
U.S. BANCORP INVESTMENTS, INC.
March 31, 2011 - October 16, 2012
U.S. BANCORP INVESTMENTS, INC.
November 15, 2010 - April 19, 2011
CUNA BROKERAGE SERVICES, INC.
July 14, 2009 - November 12, 2010
CUNA BROKERAGE SERVICES, INC.
July 7, 2009 - April 19, 2011
CUNA BROKERAGE SERVICES, INC.
January 1, 2008 - February 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 13, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 6, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
July 23, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
SECURE INVESTMENT MANAGEMENT, LLC
CRD#: 141195 / SEC#: 801-80752
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SECURE INVESTMENT MANAGEMENT, LLC
CRD#: 141195 / SEC#: 801-80752
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 825 |
| AUM (Assets Under Management) | $ 38,291,887 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
