PL
Patrick S. Lau
STATE FARM INVESTMENT MANAGEMENT
Diamond Bar, CA 91765-3782
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CRD#: 1303975
PL
Professional summary
Patrick Siu Keung Lau is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Diamond Bar, California and STATE FARM VP MANAGEMENT CORP. located in Diamond Bar, California.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Patrick has worked at 6 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Patrick Lau's Insurance Agency; Insurance Agency; Investment-related; 3333 S Brea Canyon Rd Ste 110 Diamond Bar, CA 91765-3782; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 11/1/1988; 80; 80; Service customers and supervise employees
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Siu Keung Lau's 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®
NoneExperience
Current
August 21, 2018 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 3333 S Brea Canyon Rd Ste 110, Diamond Bar, CA 91765-3782RIA
CRD#: 3487
Diamond Bar, CA
Current
May 31, 2000 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 3333 S. Brea Canyon Road Suite 110, Diamond Bar, CA 91765BD
CRD#: 43036
Diamond Bar, CA
Past
September 30, 1999 - December 8, 1999
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
Past
March 4, 1986 - September 30, 1999
W.J. GALLAGHER & COMPANY, INC.
BD
CRD#: 11097
PASADENA, CA
Past
November 1, 1985 - February 4, 1986
CHRISTOPHER WEIL & COMPANY, INC
BD
CRD#: 6566
Past
August 21, 1985 - December 10, 1985
AMERICAN FUTURES SECURITIES, INC.
BD
CRD#: 15365
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(6/23/2023)
IAR
Arizona(7/6/2023)
RR
California(1/3/2001)
IAR
California(8/21/2018)
RR
Nevada(6/23/2023)
IAR
Nevada(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
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)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
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Check for any disclosures as part of your thorough research when choosing an advisor.
