Randal S. Pierson

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CRD#: 2000124

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.

Randal Sterrett Pierson, who also goes by Randy Pierson, was a registered financial professional .

Randal is a previously registered financial professional and started their career in finance in 1989. Randal had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randy Pierson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

J.D. Mellberg Financial, LLC - Non-investment related business 3067 W. Ina Road, Suite 105, Tucson, AZ. 85741 - Insurance Agency - Licensed Insurance Agent Start date - 04/2017 - Present Twenty five hours per week and during trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 3, 2019 - January 23, 2024

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Olathe, KS

Past

June 10, 2019 - October 22, 2019

SPECIALIZED ADVISORS

RIA

CRD#: 299308

Olathe, KS

Past

March 12, 2019 - June 5, 2019

SPECIALIZED ADVISORS

RIA

CRD#: 299308

Olathe, KS

Past

May 17, 2017 - March 8, 2019

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Olathe, KS

Past

January 12, 2017 - April 25, 2017

UNITED ADVISORS AMERICA

RIA

CRD#: 147350

Olathe, KS

Past

September 11, 2015 - July 19, 2016

BANKERS & INVESTORS CO.

RIA

CRD#: 6874

ROELAND PARK, KS

Past

September 11, 2015 - July 19, 2016

BANKERS & INVESTORS CO.

CRD#: 6874

ROELAND PARK, KS

Past

June 24, 2015 - September 9, 2015

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

OVERLAND PARK, KS

Past

June 24, 2015 - September 9, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

OVERLAND PARK, KS

Past

August 11, 2014 - June 29, 2015

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

TOPEKA, KS

Past

August 5, 2014 - June 29, 2015

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

TOPEKA, KS

Past

February 4, 2008 - April 17, 2014

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

LENEXA, KS

Past

February 4, 2008 - April 17, 2014

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

LENEXA, KS

Past

October 2, 2007 - February 6, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

CHARLOTTE, NC

Past

October 2, 2007 - February 6, 2008

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

November 21, 2003 - September 12, 2007

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

OVERLAND PARK, KS

Past

November 17, 2003 - September 12, 2007

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

OVERLAND PARK, KS

Past

June 10, 1998 - November 17, 2003

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

OVERLAND PARK, KS

Past

July 18, 1994 - November 17, 2003

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

November 22, 1989 - August 5, 1994

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

November 22, 1989 - August 5, 1994

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SECURE INVESTMENT MANAGEMENT, LLC

CRD#: 141195 / SEC#: 801-80752

RIA

Registered Investment Advisory firm - (1/8/2015 Approved)

Arizona

Registered Investment Advisory firm - (1/8/2015 Terminated)

California

Registered Investment Advisory firm - (2/7/2015 Terminated)

Florida

Registered Investment Advisory firm - (9/15/2015 Terminated)

Nevada

Registered Investment Advisory firm - (2/26/2015 Terminated)

Tennessee

Registered Investment Advisory firm - (2/8/2015 Terminated)

Texas

Registered Investment Advisory firm - (1/8/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/8/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/14/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/19/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/20/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/20/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SECURE INVESTMENT MANAGEMENT, LLC

CRD#: 141195 / SEC#: 801-80752

RIA

Registered Investment Advisory firm - (1/8/2015 Approved)

Arizona

Registered Investment Advisory firm - (1/8/2015 Terminated)

California

Registered Investment Advisory firm - (2/7/2015 Terminated)

Florida

Registered Investment Advisory firm - (9/15/2015 Terminated)

Nevada

Registered Investment Advisory firm - (2/26/2015 Terminated)

Tennessee

Registered Investment Advisory firm - (2/8/2015 Terminated)

Texas

Registered Investment Advisory firm - (1/8/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - (1/8/2015 Terminated)

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Contact information

Main Address

3067 W. Ina Road #125, Tucson, AZ 85741

Mailing Address

Phone number

(520) 333-4719

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Randal S. Pierson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SPECIALIZED ADVISORS

SPECIALIZED ADVISORS

SECURE INVESTMENT MANAGEMENT, LLC

UNITED ADVISORS AMERICA

BANKERS & INVESTORS CO.

BANKERS & INVESTORS CO.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

SECURE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/1999

Series 63

Date: 12/28/1989

SIE

Date: 7/19/2016

Series 7

Date: 11/20/1995

Series 6

Date: 11/20/1989

Current Firm

SECURE INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SECURE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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