Victoria A. Tuua
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.
Victoria A Tuua, who also goes by VIctoria Kathleen Alexander, Vicki Alexandra, Victoria Kathleen Alexandra, Victoria Alexandra Metterelis, Victoria Metteve, Victoria Mettevelis, Victoria Soto, Vicki Tuua, Victoria Tuua, Victoria Tvva, Alexandra Vehar, Victoria Alexandra Vehar, Victoria A Vehartuua, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1987. Victoria had worked at 8 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 1997 - August 15, 2022
STATE FARM VP MANAGEMENT CORP.
July 8, 1995 - August 15, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 8, 1995 - August 15, 1995
SIGNATOR INVESTORS, INC.
June 17, 1992 - July 12, 1993
JARON EQUITIES CORP.
November 2, 1990 - June 24, 1992
KAVANAUGH SECURITIES, INC.
November 19, 1989 - July 31, 1990
OSAIC WEALTH, INC.
February 6, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 25, 1987 - March 14, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
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 | 7 |
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.
