Jimmy Diep

SECURE INVESTMENT MANAGEMENT

San Jose, CA

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CRD#: 5945719

Professional summary

Jimmy Diep is a registered financial advisor currently at SECURE INVESTMENT MANAGEMENT, LLC located in San Jose, California.

Jimmy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Jimmy has worked at 8 firms and has passed the Series 65, Series 63, Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Jimmy Diep'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

May 23, 2025 - Present

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

San Jose, CA

Past

July 28, 2023 - November 27, 2024

J.P. MORGAN SECURITIES LLC

CRD#: 79

LOS GATOS, CA

Past

April 22, 2019 - July 17, 2019

SPOTLIGHT ASSET GROUP

RIA

CRD#: 288076

Calabasas, CA

Past

January 25, 2019 - March 22, 2019

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Campbell, CA

Past

January 25, 2019 - March 22, 2019

BBVA SECURITIES INC.

CRD#: 27060

CAMPBELL, CA

Past

March 10, 2016 - May 23, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CUPERTINO, CA

Past

March 10, 2016 - May 23, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

CUPERTINO, CA

Past

March 27, 2013 - February 29, 2016

TD AMERITRADE, INC.

RIA

CRD#: 7870

CUPERTINO, CA

Past

March 27, 2013 - February 29, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Cupertino, CA

Past

March 27, 2013 - February 29, 2016

TD AMERITRADE, INC.

CRD#: 7870

CUPERTINO, CA

Past

January 4, 2012 - March 6, 2013

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

ST CLOUD, MN

Past

July 28, 2011 - March 6, 2013

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

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.

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
(5/23/2025)

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: 1/3/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/14/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/19/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 7/28/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 7/7/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/2011

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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Firm Stability Insights

Jimmy Diep

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jimmy Diep's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

SPOTLIGHT ASSET GROUP

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

Primary Firm SEC Registration

SECURE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2025

Series 63

Date: 9/14/2023

Series 66

Date: 12/19/2011

Series 6TO

Date: 7/28/2023

SIE

Date: 7/7/2023

Series 7

Date: 7/26/2011

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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