JA
Joseph M. Alcon
SECURE INVESTMENT MANAGEMENT
Coachella, CA
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CRD#: 3226427
JA
Professional summary
Joseph Michael Alcon, who also goes by Joseph Michael Puga, is a registered financial advisor currently at SECURE INVESTMENT MANAGEMENT, LLC located in Coachella, California.
Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Joseph has worked at 6 firms and has passed the Series 63, Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Michael Puga
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) Our Lady of Soledad Catholic Church. Not Investment Related. Located at 52980 Cesar Chaves Street, Coachella, CA 92236. Nature - Non-Profit, Volunteer - teach teens, adults and assist with marketing effort. Position - Catechist, Reader, Tech/Media Ministry. Start - 9/2018. 20 hours per month, not during trading hours. Duties - on weekends and evenings, prepare lessons, deliver them and also go online to maintain e-presence on Facebook, Instagram and other church websites. 2) Assembly 3494. Not investment Related. Located at 82470 Bliss Avenue, Bldg. B, Indio CA 92201. Nature - Non-Profit, Catholic Mens Group - doing good for the community with emphasis on patriotism. Position - Technical assistance, advice and guidance. Start - 6/2019. 2 hours per month, not during trading hours. Duties - Assist with utilizing technology, provide guidance on current events and research on what other events group can participate on, volunteer for patriotic presence (most recent was a wreath bearer during observance of memorial day). 3) Knights of Columbus Council 3847. Not Investment related. Located at 52525 Oasis Palm Ave, Coachella, CA 92236. Nature -Catholic Mens Group - volunteer. Position - Recorder. Start - 6/2015. 10 hours per month, not during trading hours. Duties - Assist in record keeping, updating information online and assist with fundraising activities (golf tournament and fireworks sales) - proceeds benefit church and local scholarship recipients. 5) Fixed Insurance. Investment related. Located at 73575 EL PASEO suite 2300, Palm Desert, CA 92260. Nature - Life Insurance and Annuities. Position - Agent. Start - 07/2022. 2 hours per month, all during trading hours. Duties - providing guidance on insurance and annuity products to clients.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Michael Alcon'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
April 1, 2025 - Present
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
Coachella, CA
Past
May 4, 2023 - May 22, 2025
KEYSTONE PRIVATE WEALTH
RIA
CRD#: 301924
PALM DESERT, CA
Past
December 19, 2022 - May 5, 2025
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Palm Desert, CA
Past
July 17, 2018 - August 5, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
PALM DESERT, CA
Past
December 14, 2006 - August 4, 2020
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
PALM DESERT, CA
Past
April 25, 2005 - November 21, 2006
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
PALM SPRINGS, CA
Past
April 18, 2005 - November 21, 2006
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PALM SPRINGS, CA
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
California(4/1/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product 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
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.
