Secure Planning

Broker-DealerFINRA MemberEst. 1998

Total AUM

$187M

Discretionary

$187M

100% of AUM

Accounts

846

Employees

Advisory reps

Brokerage reps

Firm details

Headquarters: Portsmouth, New Hampshire
CRD number: 42179
Registered since: June 19, 1998
Website: www.secureplanning.com
Custodians: SEI INVESTMENTS DISTRIBUTION CO., CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees, Commissions
Client types: Individuals65.59%
HNWI34.41%
Services: Financial PlanningPortfolio Management for Individuals

Firm profile

FINTRX

Overview

Secure Planning operates as a limited liability company that has been SEC-registered since 1998 and is organized as an independent broker-dealer with insurance brokerage capabilities. The firm serves individual and family clients and provides financial planning and portfolio management for individuals and small businesses. Its business model mixes advisory and transactional revenue: fees based on a percentage of assets under management, hourly and fixed-fee engagements, and commission-based activities. The firm is not positioned as a capital allocator and is not identified as an active ESG investor or a multi-state adviser. Ownership is reported as domestic (entity and individual), and Secure Planning’s activities sit at the intersection of brokerage, insurance distribution, and fee-based financial advice rather than institutional or pension consulting.