JK
John T. Keefe
SECURE INVESTMENT MANAGEMENT
TUCSON, AZ 85741
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CRD#: 2199780
JK
Professional summary
John Timothy Keefe, who also goes by Tim Keefe, is a registered financial advisor currently at SECURE INVESTMENT MANAGEMENT, LLC located in Tucson, Arizona.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. John has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Keefe
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.
(1) 2022-Present: Secure Investment Management, LLC/Investment Related/Tucson, AZ/Investment Adviser/Investment Adviser Representative/Interim dual RA role during client transition period to new investment adviser/Involves up to 10% time each month, including during tradition business hours. (2) 2022-Present: Secure Income Management LLC/Insurance Related/Tucson, AZ/Insurance Agent/Insurance Sales/Involves 20% or less time each month, including during traditional business hours./ (3) 2024-Present: KWM Group, LLC/Not Investment Related/Tucson, AZ/Managing Member & Majority Shareholder/Entity formed for income and expense sharing purposes./Involves 10% or less time each month, typically after traditional business hours./
CRS (Client Relationship Summary) - RIA
Click below to view John Timothy Keefe's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 2, 2022 - Present
SECURE INVESTMENT MANAGEMENT, LLC
Office #1: 3067 W. Ina Road #125, Tucson, AZ 85741RIA
CRD#: 141195
TUCSON, AZ
Past
May 28, 2020 - October 6, 2022
BROOKSTONE CAPITAL MANAGEMENT LLC
RIA
CRD#: 141413
Tucson, AZ
Past
November 12, 2019 - July 27, 2022
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
TUCSON, AZ
Past
January 4, 2011 - December 31, 2013
BAY TREE CAPITAL MANAGEMENT, INC.
RIA
CRD#: 154085
SAN FRANCISCO, CA
Past
June 26, 2006 - April 23, 2007
FISHER INVESTMENTS
RIA
CRD#: 107342
PLANO, TX
Past
September 23, 1999 - December 1, 2000
HCFP BRENNER SECURITIES, LLC
BD
CRD#: 46003
NEW YORK, NY
Past
January 26, 1999 - August 23, 1999
JOHNSON RESEARCH & CAPITAL INCORPORATED
BD
CRD#: 4343
ST. LOUIS, MO
Past
May 7, 1993 - September 2, 1998
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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".
SI
SECURE INVESTMENT MANAGEMENT, LLC
JOSHUA D. MELLBERG, SOLE PROPRIETOR | TAX SMART INVESTING & PLANNING | SENIOR ADVISORS WEALTH MANAGEMENT, LLC | SECURE INVESTMENT MANAGEMENT, LLC | JOSHUA DAVID MELLBERG, LLC DBA SENIOR ADVISORS | JOSHUA DAVID MELLBERG, LLC DBA JD MELLBERG FINANCIAL
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)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(11/2/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
SI
SECURE INVESTMENT MANAGEMENT, LLC
JOSHUA D. MELLBERG, SOLE PROPRIETOR | TAX SMART INVESTING & PLANNING | SENIOR ADVISORS WEALTH MANAGEMENT, LLC | SECURE INVESTMENT MANAGEMENT, LLC | JOSHUA DAVID MELLBERG, LLC DBA SENIOR ADVISORS | JOSHUA DAVID MELLBERG, LLC DBA JD MELLBERG FINANCIAL
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)Upgrade to AdvisorCheck Premium
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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
12
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
