PS
Patrick J. Smith
STATE FARM INVESTMENT MANAGEMENT
Boulder, CO 80301-1241
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CRD#: 2161491
PS
Professional summary
Patrick John Smith, who also goes by Pat Smith, Patrick J Smith, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Boulder, Colorado and STATE FARM VP MANAGEMENT CORP. located in Boulder, Colorado.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Patrick has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 6, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat Smith | Patrick J Smith
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) Metropolitan State College; Non-Investment-Related; Campus Box 78, PO Box 173362, Denver, CO 80217; Business Management; Employee; 8/1/1990; 16; 0; Part-time management faculty. 2) P&S Entertainment, LLC, DBA P&S Enterprises; Non-Investment-Related; 499 Parkview Avenue, Golden, CO 80401; Travel; Owner; 7/1/2006; 1; 0; No other duties. 3) Highland Rescue Team Ambulance District; Non-Investment-Related; 317 S Lookout Mtn Rd., Golden, CO 80401; Foundation Board; Director; 8/1/2017; 1; 0; Control of checkbook, facilitate training. 4) St Bernadette Parish; non-investment-related; 7240 w 12th Ave, Lakewood, CO 80214; membership/Civic/Fraternal Organization; deacon; 7/1/2021; 12; 0; none. 5) Patrick Smith's Insurance Agency; Insurance Agency; Investment-related; 2400 28th St Ste 200 Boulder, CO 80301-1241; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 08/01/2011; 80; 80; Service customers and supervise employees 6) Archdiocese of Denver Mortuary; non-investment-related; 12801 W 44th Ave, Wheat Ridge, CO 80033; Membership/Civic/Fraternal Organization; 7/11/2022;1; 0; none 7) Patrick Smith - Property#1 (personally held real estate); Non-Investment-Related; 1505 n 25th St #200 Harlingen, TX 78550; Other; Owner; None; 01/06/2025; 0; 0; Personally Held Real Estate 8) Patrick Smith - Property#2 (personally held real estate); Non-Investment Related; 6855 w 84th way #28 Arvada, CO 80003; Other; Owner; None; 01/06/2025; 0; 0; Personally Held Real Estate
CRS (Client Relationship Summary) - RIA
Click below to view Patrick John Smith'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 7, 2018 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 2400 28th Street Suite 200, Boulder, CO 80301-1241RIA
CRD#: 3487
Boulder, CO
Current
April 2, 2010 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 2400 28th St Ste 200, Boulder, CO 80301-1241BD
CRD#: 43036
Boulder, CO
Past
November 8, 2007 - February 26, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
September 8, 2004 - December 5, 2005
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ARVADA , CO
Past
June 22, 2004 - December 5, 2005
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
October 12, 1993 - June 26, 2002
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
October 28, 1991 - October 1, 1993
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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
Colorado(4/2/2010)
IAR
Colorado(8/7/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/27/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
Company Information
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487Boulder, CO 80301-1241TRUST BUT VERIFY
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