GG
Gerald M. Garcia
STATE FARM INVESTMENT MANAGEMENT
San Leandro, CA 94578
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CRD#: 1783471
GG
Professional summary
Gerald Michael Garcia, ChFC®, CLU®, who also goes by Jerry Garcia, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in San Leandro, California and STATE FARM VP MANAGEMENT CORP. located in San Leandro, California.
Gerald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Gerald has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jerry Garcia
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) S&G HOLDINGS LLC; INVESTMTNE; 15200 HESPERIAN BLVD SUITE 102, SAN LEANDRO, CA, 94578; REAL ESTATE; OFFICER; 10/2006; 4 HR/MO; 1 HR/MO; PROPERTY MANAGEMENT, BOOKKEEPING, PRESIDENT. 2) Castro Valley Masonic Temple Association; NOT investment-related; 4521 Crow Canyon Rd, Castro Valley, CA, 94552 ; Membership/Civic/Fraternal Organization; Board Member; Treasurer; 01/20/2020; 4; 0; They want to elect me treasurer of the Hall association. This is a non-paid volunteer organization. However, I would be a signer on their checking account, pay the bills and make deposits.. 3) Gerald Garcia's Insurance Agency; Insurance Agency; Investment-related; 15200 Hesperian Blvd Ste 102 San Leandro, CA 94578-3955; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 06/01/2001; 80; 80; Service customers and supervise employees 4) Keystone Adult Learning Center; non-investment related; 1241 Quarry Lane Ste 145 Pleasanton CA 94566; Education; Director; Secretary; 01/01/1999; 2hrs yrly; 0; I attend one annual board meeting, take minutes, vote on motions that do not involve financial products.
CRS (Client Relationship Summary) - RIA
Click below to view Gerald Michael Garcia'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®
Experience
Current
December 8, 2021 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 15200 Hesperian Blvd Ste 102, San Leandro, CA 94578RIA
CRD#: 3487
San Leandro, CA
Current
February 7, 2001 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 15200 Hesperian Blvd Ste 102, San Leandro, CA 94578-3955BD
CRD#: 43036
San Leandro, CA
Past
July 30, 2009 - March 31, 2017
STATE FARM INVESTMENT MANAGEMENT CORP.
RIA
CRD#: 3487
SAN LEANDRO, CA
Past
April 29, 2004 - December 31, 2008
STATE FARM INVESTMENT MANAGEMENT CORP.
RIA
CRD#: 3487
SAN LEANDRO, CA
Past
October 26, 1998 - July 2, 1999
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
January 6, 1997 - October 28, 1998
SENTRA SECURITIES CORPORATION
BD
CRD#: 10249
PHOENIX, AZ
Past
May 7, 1996 - December 17, 1996
AMERICAN INVESTORS COMPANY
BD
CRD#: 38
SAN RAMON, CA
Past
April 11, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
BD
CRD#: 10293
Past
April 11, 1988 - April 15, 1994
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
April 11, 1988 - June 13, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
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(6/19/2023)
IAR
Arizona(6/30/2023)
RR
California(3/9/2001)
IAR
California(12/8/2021)
RR
Nevada(4/28/2022)
IAR
Nevada(5/10/2022)
RR
Oregon(7/31/2023)
IAR
Oregon(8/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General 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
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.
