Stephen J. Morales

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CRD#: 5092839

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.

Stephen Jesus Morales, who also goes by Steve Jesus Morales, Steve Morales, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2006. Stephen had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Jesus Morales | Steve Morales

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

January 4, 2016 - September 21, 2017

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

Reno, NV

Past

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: 8/9/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/6/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/27/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/30/2006

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

Stephen J. Morales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

WADDELL & REED

WADDELL & REED

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

Primary Firm SEC Registration

SECURE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/9/2006

Series 63

Date: 4/6/2006

SIE

Date: 2/27/2015

Series 6

Date: 3/30/2006

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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