Richard J. Naylor

STATE FARM VP MANAGEMENT

Rochester, NY 14607

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CRD#: 1582837

Professional summary

Richard Joseph Naylor, who also goes by Richard J Naylor, Rick Naylor, is a registered financial professional currently at STATE FARM VP MANAGEMENT CORP. located in Rochester, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1987. Richard has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard J Naylor | Rick Naylor

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Joseph Naylor'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

December 20, 2018 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: 630 East Avenue Suite 250, Rochester, NY 14607

CRD#: 43036

Rochester, NY

Past

December 9, 2002 - December 31, 2016

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

May 3, 1999 - September 18, 2002

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

April 15, 1997 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

March 1, 1996 - May 1, 1997

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 29, 1988 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

March 17, 1987 - February 9, 1988

PRUCO SECURITIES, LLC.

CRD#: 5685

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(12/20/2018)

Exams

State Security Law Exam

Series 63

Date: 5/21/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/16/1987

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036 / SEC#: , 8-50128

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One State Farm Plaza, Bloomington, IL 61710-0001

Mailing Address

One State Farm Plaza, Bloomington, IL 61710-0001

Phone number

(833) 430-8518

Established

Delaware since 11/27/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STATE FARM INVESTMENT MANAGEMENT	SHAREHOLDER	3487
COOK, KRISTYN	EXECUTIVE VICE PRESIDENT AND DIRECTOR	4215717
FARNEY, JON CHARLES	PRESIDENT AND DIRECTOR	2839964
GHANBARPOUR, ARASH	VICE PRESIDENT AND DIRECTOR	5129325
HINTZ, SCOTT ALEXANDER	VICE PRESIDENT - FINANCIAL AND SECRETARY	2004555
LUDWIG, TERRENCE MICHAEL	CHIEF COMPLIANCE OFFICER AND TREASURER	3231040
MINEAU, SARAH	SENIOR VICE PRESIDENT AND DIRECTOR	4634160
MONTGOMERY, BRADLEY DOYLE	SENIOR VICE PRESIDENT AND DIRECTOR	2913835
PRESTON, BRIAN LYNN	ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER	4312143
WILLARD, DANIEL NELSON	ASSISTANT SECRETARY AND COUNSEL	5207081

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Richard J. Naylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Joseph Naylor's CRS (Customer Relationship Summary).

Certified licenses

Experience

STATE FARM VP MANAGEMENT CORP.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/1987

SIE

Date: 12/31/2016

Series 6

Date: 3/16/1987

FINRA

Current Firm

STATE FARM VP MANAGEMENT CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STATE FARM VP MANAGEMENT CORP.

TRUST BUT VERIFY

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