Joseph M. Alcon

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CRD#: 3226427

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.

Joseph Michael Alcon, who also goes by Joseph Michael Puga, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2005. Joseph had worked at 6 firms and has passed the Series 63, Series 65, Series 66, SIE and Series 7 exams.

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.

The advisor shows no other business activity.

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

April 1, 2025 - July 6, 2026

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

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

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.

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".

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

Series 63

Date: 4/2/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/4/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/22/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/2005

General Securities 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

Joseph M. Alcon

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KEYSTONE PRIVATE WEALTH

PURSHE KAPLAN STERLING INVESTMENTS

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

SECURE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/2/2024

Series 65

Date: 5/4/2023

Series 66

Date: 4/22/2005

SIE

Date: 10/1/2018

Series 7

Date: 4/15/2005

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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