Secure Investment Management, Llc

Allegations: IN 2014, AN INVESTMENT ADVISER REPRESENTATIVE EMPLOYED WITH RESPONDENT ENTERED INTO INVESTMENT ADVISORY AGREEMENTS WITH FIVE KANSAS CLIENTS WHILE NEITHER REGISTERED NO EXEMPT FROM REGISTRATION AS AN INVESTMENT ADVISER REPRESENTATIVE IN KANSAS. DURING THE RELEVANT TIME PERIOD, RESPONDENT WAS NOT REGISTERED AS AN INVESTMENT ADVISER IN KANSAS NOR EXEMPT FROM REGISTRATION. Status: Final Sanction Detail: PER THE CONSENT ORDER, A CIVIL PENALTY OF $5,000 WAS ASSESSED AGAINST RESPONDENT TO BE PAID WITHIN 30 DAYS OF THE ENTRY OF THE ORDER. Summary: IN JULY 2015, THE KANSAS INSURANCE DEPARTMENT REFERRED A COMPLAINT FROM A KANSAS RESIDENT TO THE OFFICE OF THE KANSAS SECURITIES COMMISSIONER RESULTING IN AN ADMINISTRATIVE INQUIRY INTO THE UNREGISTERED ACTIVITY OF RESPONDENT AND AN INVESTMENT ADVISER REPRESENTATIVE EMPLOYED WITH THEM. AS A RESULT OF THE INVESTIGATION, A NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE SANCTIONS WAS FILED ALONG WITH THE CONSENT ORDER ON DECEMBER 21, 2016.