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JP

Janice M. Powell

SECURE INVESTMENT MANAGEMENT
TUCSON, AZ 85741
Some features on this profile are disabled
CRD#: 4519492
JP

Professional summary

Janice Marie Powell, who also goes by Janice Schroath, is a registered financial advisor currently at SECURE INVESTMENT MANAGEMENT, LLC located in Tucson, Arizona.

Janice is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Janice has worked at 14 firms and has passed the Series 63, Series 65, Series 7TO, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Janice Schroath

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.
Board Member - National Society of Compliance Professionals (NSCP)-Cornwall Bridge, CT 06754 Phone: 860-672-0843; Investment related; Yes. Nature of this business: trade association for securities compliance. Title & Duties; Member, Help the board oversee the organization, review contracts, budget, tax filings, etc.. Hours devoted: 5%.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Janice Marie Powell's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 17, 2025 - Present

SECURE INVESTMENT MANAGEMENT, LLC

Office #1: 3067 W. Ina Road #125, Tucson, AZ 85741
RIA
CRD#: 141195
TUCSON, AZ
Past

February 22, 2024 - March 21, 2025

DIVERSIFY WEALTH MANAGEMENT, LLC

RIA
CRD#: 329878
SANDY, UT
Past

September 15, 2023 - March 21, 2025

DIVERSIFY ADVISORY SERVICES, LLC

RIA
CRD#: 326060
SANDY, UT
Past

March 7, 2023 - July 12, 2024

DFPG INVESTMENTS, LLC

RIA
CRD#: 155576
Sandy, UT
Past

February 27, 2023 - March 21, 2025

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
Sandy, UT
Past

April 15, 2019 - January 27, 2021

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

December 6, 2018 - January 27, 2021

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
LA VISTA, NE
Past

January 22, 2018 - August 1, 2018

PAGNATOKARP PARTNERS, LLC

RIA
CRD#: 282298
Reston, VA
Past

June 7, 2017 - January 4, 2018

THE INDEX GROUP, LIMITED LIABILITY COMPANY

RIA
CRD#: 131670
COLORADO SPRINGS, CO
Past

August 4, 2016 - October 31, 2016

CONVERGENT WEALTH ADVISORS, LLC

RIA
CRD#: 143719
POTOMAC, MD
Past

July 11, 2014 - June 17, 2015

CAVANAL HILL INVESTMENT MANAGEMENT, INC.

RIA
CRD#: 110774
TULSA, OK
Past

February 24, 2012 - June 23, 2014

AMEGY INVESTMENTS, INC.

RIA
CRD#: 120145
HOUSTON, TX
Past

February 13, 2012 - June 23, 2014

AMEGY INVESTMENTS, INC.

BD
CRD#: 120145
HOUSTON, TX
Past

July 13, 2009 - June 23, 2014

ZIONS CAPITAL ADVISORS, INC.

RIA
CRD#: 131308
SALT LAKE CITY, UT
Past

June 9, 2008 - June 23, 2014

ZIONS DIRECT, INC.

BD
CRD#: 17776
SALT LAKE CITY, UT
Past

March 20, 2006 - May 13, 2008

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT

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
(6/27/2025)
IAR
Utah
(6/17/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/17/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/10/2009
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/9/2023
General Securities Principal Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts825
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.

Company Information

SECURE INVESTMENT MANAGEMENT, LLC

CRD#: 141195Tucson, AZ 85741

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