SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP.
Adviser information for SECURE RETIREMENT FINANCIAL & INSURANCE SERVICES CORP. last updated from Form ADV on March 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 546 | $96.6M |
| Non-Discretionary | 0 | $0 |
| Total | 546 | $96.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 212 | $56.4M |
| HNW Individuals | 18 | $40.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshops |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-125823 |
|---|---|
| SEC ERA File Number | 801-125823 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 132777 |
| Legal Entity Identifier | None |
Principal Office
18 CROW CANYON COURTSUITE 325
SAN RAMON
CA
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 925-855-4300, Fax: 925-855-4630
Websites
Chief Compliance Officer
RICHARD R. MOREY
18 CROW CANYON COURT
SUITE 325
SAN RAMON
CA
United States
Tel:
925-855-4300
R******@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MOREY, RICHARD, REE | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2004 | < 5% |
| RICHARD AND SHERRY MOREY LIVING TRUST | Domestic Entity | – | SHAREHOLDER | 07/2017 | 50-75% |
| MOREY, RICHARD, REE | Individual | RICHARD AND SHERRY MOREY LIVING TRUST | TRUSTEE | 07/2017 | 50-75% |
| Morey, Sherry, Diane | Individual | RICHARD AND SHERRY MOREY LIVING TRUST | TRUSTEE | 07/2017 | 50-75% |
| WARREN, JEFFREY, MICHAEL | Individual | – | PRESIDENT | 02/2023 | 25-50% |