Dianne Shumway
Investment Adviser Representative at Secure Investment Management, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Dianne Shumway is an investment adviser representative with Secure Investment Management, LLC in Rancho Palos Verdes, CA, where they have been registered since 2025. They have worked in the securities industry since 2020 and have been registered with 3 firms, including MML Investors Services, LLC and Cambridge Investment Research Advisors, Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in California, North Carolina, Texas, and Utah.
Registrations & licenses
- Investment adviser:
- California, North Carolina, Texas, Utah
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Cambridge Investment Research, Inc.Jan 2020 – Apr 2024Rolling Hills Estates, CA
- WMoore CPA, PCAug 2017 – Jul 2022Rolling Hills Estates, CA
- Bill & Dianne Home EnterpriseDec 2002 – Aug 2017Bedford, MA
- Cambridge Investment Research Advisors, Inc.Apr 2020 – Apr 2024Rolling Hills Estates, CA
- MassMutual Life Insurance CompanyMar 2024 – Jul 2025Beverly Hills, CA
- MML Investors Services, LLCJun 2024 – Jul 2025Beverly Hills, CA
- Secure Investment Management, LLCJul 2025 – no end date reportedTucson, AZ
- Secure Income Management, LLCJul 2025 – no end date reportedTucson, AZ
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Secure Investment Management, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
Under $100M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 21
- Offices listed on AdvisorFinder:
- 1
- Main office:
- Tucson, AZ
- SEC file number:
- 801-80752
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of August 14, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Dianne Shumway has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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