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Andrew L. Dulin
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CRD#: 1019102
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Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew L Dulin, who also goes by Andy Dulin, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1998. Andrew had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andy Dulin
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.
1) SCHOENERS INTERIORS ,LLC AND SCHOENERS INTERIORS OF BELLEVUE LLC. NOT INVESTMENT-RELATED. 16911 HWY 99 #102,LYNNWOOD,WA, 98037. 7/1/05. SALES AND INTERIOR DESIGN SERVICES. NO DUTIES. 0 HR/MO FOR BOTH. 2) ANDY DULIN,MUSICIAN; NON INVESTMENT; 7212 164TH SW,EDMONDS,WA,98026; MUSICIAN; OWNER; 4/2009; 3 HR/MO; 0 HR/MO; PLAY GUITAR. 3) LS STYLE INC; NON-INVESTMENT RELATED; 2045 120TH NE #200, BELLEVUE, WA 98005; THAT IS BEING ESTABLISHED BY MY SPOUSE AS AN ADJUNCT CONSULTING BUSINESS, THAT WILL BE USED IN CO-ORDINATED WITH HER INTERIOR DESIGN RETAIL FURNITURE SALES BUSINESS, THAT HAS PREVIOUSLY BEEN DISCLOSED AT MY TIME OF REGISTRATION.; 50% OFFICER; 10/1/13; 0 HRS/MO; 0 HRS/MO; NO DUTIES. 4) ANDY DULIN, ARTIST; NON INVESTMENT RELATED; 7212 164TH ST SW EDMONDS WA 98026; I AM A RECREATIONAL WATERCOLOR AND ACRYLIC ARTIST. AN HAVE BEEN ASKED TO DISPLAY FOR SALE, A FEW OF MY PAINTINGS; 100% OWNER; 04/07/2015; 10HR/MO; 0HR/MO; ARTIST. 5) L & A Enterprises, LLC; 7212 164th St SW, Edmonds, WA 98026; Non-Investment Related; Entity being created to hold title to a commercial building, that I am purchasing.; Owner; 6/2/2016; 1 HR/MO & 0 HR/MO; Light landscape/building maintenance anticipated.... mostly yard work. 6) 140 Legacy LLC; Investment Related; 8242 NE 159th St., Kenmore, WA 98028; Investment or Commercial Property; Owner/Partner; 06/06/2019; 2; 0; Light building maintenance, clean up, landscaping 7) 180 Legacy LLC; Investment Related; 18715 8th Ave NW #2, Shoreline, WA 98177; Other/LLC on rental home; Partner/Owner; 08/23/2020; 2; 0; Light building maintenance, landscaping 8) Rocket Mortgage; Investment-related; 16911 Hwy 99 #101, Lynnwood, WA 98037; Mortgage Loan Origination; Mortgage Loan Originator/Broker; 7/1/2021; 4; 4; The registered representative will originate mortgage loans as part of this activity. As a result of this role, the RR may also be considered a branch manager, which may include performing certain administrative duties and receiving compensation on other agents' mortgage business. The registered representative may lease or sublease a portion of the registered representative's office space to the company. 9) Andrew Dulin's Insurance Agency; Insurance Agency; Investment-related; 16911 Highway 99 Ste 101 Lynnwood, WA 98037-3104; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 4/1/1982; 80; 80; Service customers and supervise employees
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
October 24, 2018 - October 12, 2023
STATE FARM INVESTMENT MANAGEMENT CORP.
RIA
CRD#: 3487
Lynnwood, WA
Past
May 28, 1998 - October 12, 2023
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
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".
STATE FARM INVESTMENT MANAGEMENT CORP.
STATE FARM INVESTMENT MANAGEMENT | STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487 / SEC#: 801-8184, 8-13379
RIA
Registered Investment Advisory firm - SEC (12/14/1971 Approved)BD
Terminated by SEC on 06/30/2001
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
STATE FARM INVESTMENT MANAGEMENT CORP.
STATE FARM INVESTMENT MANAGEMENT | STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487 / SEC#: 801-8184, 8-13379
RIA
Registered Investment Advisory firm - SEC (12/14/1971 Approved)BD
Terminated by SEC on 06/30/2001
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Contact information
Main Address
One State Farm Plaza B-2, Bloomington, IL 61710-0001
Mailing Address
Phone number
(800) 447-0740
Established
Delaware since 12/09/1966
Firm type
Corporation
Fiscal year end
November
# of Employees
150
SEC notice filing (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM MUTUAL AUTOMOBILE INSURANCE COMPANY | OWNER | |
| CHEVALIER, JEREL SAM | ASSISTANT SECRETARY-TREASURER | 2209892 |
| GRIMES, DAVID ROY | VICE PRESIDENT & SECRETARY | 1432710 |
| GRIZZLE, DAVID RAY | ASSISTANT SECRETARY/TREASURER | 4084087 |
| HORTON, STEPHEN LOWELL | ASSISTANT SECRETARY | 3124493 |
| JAYNES, DONALD ONEIL | ASSISTANT SECRETARY | 3124497 |
| JOSLIN, ROGER SCOTT | DIRECTOR, VICE PRESIDENT & TREASURER | 262350 |
| KILLIAN, JOHN JOSEPH | DIRECTOR | 2614915 |
| MOORE, DAVID MICHAEL | ASSISTANT SECRETARY | 2876793 |
| MOSER, KURT GEORGE | DIRECTOR & SENIOR VICE PRESIDENT | 2065254 |
| RUST, EDWARD BARRY JR | DIRECTOR AND PRESIDENT | 1450795 |
| THOMAS, HOWARD ANDREW | ASSISTANT SECRETARY-TREASURER | 3150520 |
| TIPSORD, MICHAEL LEON | ASSISTANT SECRETARY | 1943922 |
| TROSINO, VINCENT JOSEPH | DIRECTOR | 1780681 |
Regulatory assets under management
| Total Number of Accounts | 38 |
| AUM (Assets Under Management) | $ 11,294,815,444 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
