Steven E. Ching
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.
Steven Edward Ching, who also goes by Steve Ching, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 6 firms and has passed the Series 63, Series 65, 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
September 15, 2008 - July 2, 2018
STATE FARM VP MANAGEMENT CORP.
October 20, 2006 - February 29, 2008
TD AMERITRADE, INC.
October 20, 2006 - February 29, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 11, 2006 - February 29, 2008
TD AMERITRADE, INC.
January 26, 1998 - February 29, 2000
ELECTRONIC TRADING GROUP, LLC
August 22, 1996 - January 15, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 19, 1995 - July 2, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 9, 1988 - April 6, 1988
AMERICAN CAPITAL CONTRACTUAL SERVICES, INC.
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
Current 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 |
| WIEDUWILT, ANDREW PATRICK | VICE PRESIDENT | 8074278 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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