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AL

Aridai Lopez

SECURE INVESTMENT MANAGEMENT
PHOENIX, AZ
Some features on this profile are disabled
CRD#: 6744625
AL

Professional summary

Aridai Lopez, who also goes by Ari Lopez, Aridai Lopez, Aridai Lopez Castro, Aridai Yanayaco, Ari Yanayaco, is a registered financial advisor currently at SECURE INVESTMENT MANAGEMENT, LLC located in Phoenix, Arizona.

Aridai is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Aridai has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ari Lopez | Aridai Lopez | Aridai Lopez Castro | Aridai Yanayaco | Ari Yanayaco

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 Aridai Lopez'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

January 6, 2026 - Present

SECURE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 141195
PHOENIX, AZ
Past

March 18, 2025 - December 8, 2025

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
PHOENIX, AZ
Past

March 3, 2025 - December 8, 2025

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
PHOENIX, AZ
Past

October 24, 2023 - March 5, 2024

CACHE SECURITIES LLC

BD
CRD#: 319607
SAN FRANCISCO, CA
Past

August 28, 2020 - October 20, 2023

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ
Past

June 26, 2019 - July 22, 2020

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
PHOENIX, AZ
Past

June 25, 2019 - July 22, 2020

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
PHOENIX, AZ
Past

March 2, 2018 - June 5, 2019

FORESTERS ADVISORY SERVICES, LLC

RIA
CRD#: 164663
Phoenix, AZ
Past

February 22, 2017 - June 5, 2019

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
PHOENIX, AZ

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
(1/7/2026)
IAR
California
(1/6/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/8/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/4/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/27/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/22/2017
Investment Company Products/Variable Contracts Representative 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#: 141195Phoenix, AZ

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