DS
Dianne S. Shumway
SECURE INVESTMENT MANAGEMENT
RANCHO PALOS VERDES, CA
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CRD#: 7221965
DS
Professional summary
Dianne Shumway Shumway Mrs., who also goes by Dianne Shumway Moore Mrs., Dianne Moore, Dianne Shumway Mrs., is a registered financial advisor currently at SECURE INVESTMENT MANAGEMENT, LLC located in Rancho Palos Verdes, California.
Dianne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Dianne has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dianne Shumway Moore Mrs. | Dianne Moore | Dianne Shumway Mrs.
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.
NAME: SECURE INCOME MANAGEMENT: Y ADD: RESIDENTIAL NATURE: INSURANCE AGENT: INSURANCE BROKER START DATE: 07/15/2025 NO. HR/MO: 20 NO. HR/MO DURING SEC TRADING:10 DUTIES: LIFE, DI, LTC, FIXED ANNUITIES, HEALTH (2) NAME: MOVE FORWARD CAPITAL INV REL: Y ADD: RESIDENTIAL NATURE: DIVORCE FINANCIAL CONSULTING POSITION: MANAGING MEMBER/OWNER START DATE: 01/11/2024 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 5 DUTIES: CONSULT DIVORCE COUPLES OR INDIVIDUAL CLIENTS WITH THE DIVISION OF THEIR ASSETS WHEN CONSIDERING OR DURING THE DIVORCE PROCESS
CRS (Client Relationship Summary) - RIA
Click below to view Dianne Shumway Shumway Mrs.'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®
NoneExperience
Current
July 15, 2025 - Present
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
RANCHO PALOS VERDES, CA
Past
June 12, 2024 - July 16, 2025
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BEVERLY HILLS, CA
Past
June 3, 2024 - July 16, 2025
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BEVERLY HILLS, CA
Past
March 16, 2021 - April 29, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Rancho Palos Verdes, CA
Past
April 6, 2020 - April 29, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Rancho Palos Verdes, 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(7/16/2025)
IAR
North Carolina(8/25/2025)
IAR
Texas(7/15/2025)
IAR
Utah(7/16/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/16/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
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.
