Thomas R. Gervais

STATE FARM INVESTMENT MANAGEMENT

The Villages, FL

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CRD#: 1271160

Professional summary

Thomas Richard Gervais, who also goes by Tom Gervais, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in The Villages, Florida and STATE FARM VP MANAGEMENT CORP. located in Rochester, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Gervais

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. Thomas Gervais's Insurance Agency; Insurance Agency; Investment-related; 4124 W Henrietta Rd Rochester, NY 14623-5224; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 2/1/2004; 80; 80; Service customers and supervise employees

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Richard Gervais's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 8, 2021 - Present

STATE FARM INVESTMENT MANAGEMENT CORP.

Office #2: 4124 W Henrietta Rd, Rochester, NY 14623-5224

RIA

CRD#: 3487

The Villages, FL

Current

September 19, 2002 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: 4124 W Henrietta Rd, Rochester, NY 14623-5224

CRD#: 43036

Rochester, NY

Past

March 2, 2000 - July 31, 2002

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

April 9, 1998 - February 29, 2000

OHANESIAN / LECOURS, INC.

CRD#: 23757

WEST HARTFORD, CT

Past

April 24, 1995 - December 31, 1996

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

May 26, 1987 - December 31, 1993

SENTRY EQUITY SERVICES, INC.

CRD#: 5069

STEVENS POINT, WI

Past

September 17, 1984 - January 1, 1990

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

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)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(9/13/2005)

IAR

Connecticut
(10/17/2024)

Florida
(9/9/2024)

IAR

Florida
(12/4/2024)

Georgia
(7/1/2019)

IAR

Georgia
(10/18/2024)

New York
(1/16/2003)

IAR

New York
(6/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/4/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/15/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/14/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/22/1999

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STATE FARM INVESTMENT MANAGEMENT CORP. WRAP FEE BROCHURE (3/25/2025)

STATE FARM INVESTMENT MANAGEMENT CORP. WRAP FEE PROGRAM BROCHURE (3/25/2025)

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.

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Thomas R. Gervais

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Richard Gervais's CRS (Customer Relationship Summary).

Certified licenses

Experience

STATE FARM VP MANAGEMENT CORP.

LOCUST STREET SECURITIES, INC.

OHANESIAN / LECOURS, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

SENTRY EQUITY SERVICES, INC.

HIMCO DISTRIBUTION SERVICES COMPANY

Primary Firm SEC Registration

STATE FARM INVESTMENT MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/4/2021

Series 63

Date: 1/15/2003

SIE

Date: 10/1/2018

Series 6

Date: 9/14/1984

Series 26

Date: 3/22/1999

FINRA

Current Firm

STATE FARM INVESTMENT MANAGEMENT CORP.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

STATE FARM INVESTMENT MANAGEMENT CORP.

TRUST BUT VERIFY

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