AS
Anthony J. Smith
SECURE INVESTMENT MANAGEMENT
Oakland, CA
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CRD#: 6983931
AS
Professional summary
Anthony J Smith, CFP®, who also goes by Anthony J Smith, is a registered financial advisor currently at SECURE INVESTMENT MANAGEMENT, LLC located in Oakland, California.
Anthony is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Anthony has worked at 5 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anthony J Smith
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.
CRS (Client Relationship Summary) - RIA
Click below to view Anthony J Smith's 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®
CFP®
Start date: 2020
Experience
Current
November 17, 2025 - Present
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
Oakland, CA
Past
August 15, 2025 - September 19, 2025
BROOKER WEALTH MANAGEMENT
RIA
CRD#: 105437
OAKLAND, CA
Past
August 13, 2025 - September 18, 2025
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
San Ramon, CA
Past
June 24, 2020 - December 2, 2024
LODESTAR PRIVATE ASSET MANAGEMENT LLC
RIA
CRD#: 107638
ALAMO, CA
Past
August 6, 2019 - June 19, 2020
JW HARRISON FINANCIAL, INC.
RIA
CRD#: 156845
WALNUT CREEK, 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".
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
California(11/17/2025)
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)Upgrade to AdvisorCheck Premium
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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)
Documents
Regulatory assets under management
| Total Number of Accounts | 825 |
| AUM (Assets Under Management) | $ 38,291,887 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
