Steven R. Dolby

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CRD#: 720508

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.

Steven Ross Dolby was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 17 firms and has passed the Series 65, Series 63, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

September 16, 2015 - July 27, 2018

SECURE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 141195

ANTHEM, AZ

Past

December 18, 2012 - April 9, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PHOENIX, AZ

Past

November 30, 2012 - April 9, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PHOENIX, AZ

Past

October 15, 2010 - December 6, 2012

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

HOUSTON, TX

Past

September 27, 2010 - October 15, 2010

ST JOHNS WEALTH MANAGEMENT

RIA

CRD#: 105564

YOUNGTOWN, AZ

Past

September 2, 2010 - December 6, 2012

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

PEORIA, AZ

Past

July 5, 2007 - August 4, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

SCOTTSDALE, AZ

Past

January 29, 2007 - August 4, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SCOTTSDALE, AZ

Past

March 29, 2005 - October 3, 2005

GREAT PACIFIC SECURITIES

CRD#: 29251

COSTA MESA, CA

Past

December 4, 2002 - April 3, 2003

GREAT PACIFIC SECURITIES

CRD#: 29251

COSTA MESA, CA

Past

December 22, 2000 - January 3, 2001

GREAT PACIFIC SECURITIES

CRD#: 29251

COSTA MESA, CA

Past

July 14, 1997 - June 17, 1998

GREAT PACIFIC SECURITIES

CRD#: 29251

COSTA MESA, CA

Past

February 18, 1994 - August 16, 1995

GREAT PACIFIC SECURITIES

CRD#: 29251

COSTA MESA, CA

Past

January 25, 1993 - November 23, 1993

THE TRADING DESK, INC.

CRD#: 22908

Past

July 24, 1990 - January 28, 1991

LIBERTY CAPITAL MARKETS, INC.

CRD#: 16534

Past

November 10, 1988 - July 17, 1990

M.S. EQUITIES, INC.

CRD#: 16772

Past

June 7, 1988 - April 4, 1989

FIRST NORTHERN SECURITIES, INC.

CRD#: 20883

Past

November 10, 1987 - July 12, 1988

MCG PORTFOLIO MANAGEMENT CORP.

CRD#: 7070

Past

September 22, 1987 - October 28, 1987

FITZGERALD, DEARMAN & ROBERTS, INC.

CRD#: 317

Past

February 17, 1987 - October 14, 1987

REGENT EQUITIES, INC.

CRD#: 17608

Past

April 22, 1985 - November 1, 1985

MAXIMUM YIELD INVESTMENT SERVICE, INC.

CRD#: 13404

Past

October 1, 1982 - April 7, 1983

CROSBY FINANCIAL CORPORATION

CRD#: 8216

Past

December 17, 1980 - July 23, 1982

ENI CORPORATION

CRD#: 5693

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.

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: 6/26/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/25/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/12/1980

Direct Participation Programs 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

Steven R. Dolby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PNC MANAGED ACCOUNT SOLUTIONS, INC.

ST JOHNS WEALTH MANAGEMENT

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

GREAT PACIFIC SECURITIES

GREAT PACIFIC SECURITIES

GREAT PACIFIC SECURITIES

GREAT PACIFIC SECURITIES

GREAT PACIFIC SECURITIES

THE TRADING DESK, INC.

LIBERTY CAPITAL MARKETS, INC.

M.S. EQUITIES, INC.

FIRST NORTHERN SECURITIES, INC.

MCG PORTFOLIO MANAGEMENT CORP.

FITZGERALD, DEARMAN & ROBERTS, INC.

REGENT EQUITIES, INC.

MAXIMUM YIELD INVESTMENT SERVICE, INC.

CROSBY FINANCIAL CORPORATION

ENI CORPORATION

Primary Firm SEC Registration

SECURE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/2007

Series 63

Date: 3/25/1981

Series 7

Date: 9/19/1987

Series 22

Date: 12/12/1980

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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