DC
Douglas L. Cortez
STATE FARM INVESTMENT MANAGEMENT
Bay Shore, NY 11706
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CRD#: 2167164
DC
Professional summary
Douglas Lee Cortez, who also goes by Douglas Cortez, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Bay Shore, New York.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Douglas has worked at 9 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Douglas Cortez
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) Douglas Cortez's Insurance Agency; Investment-related; 1805 5th Ave Ste 14 Bay Shore, NY 11706; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 04/01/2021; 80; 80; Service customers and supervise employees 2) Jibaritos with Troops; non-investment related; 11 Madison Ave., Bay Shore, NY 11706; Non-Profit Organization; Board Member; 01/01/2022; 2;0; organization dedicated on helping during times of need 3) Long Island Ecuadorian Latin American Chamber of Commerce; non-investment related; 5 Whittock Lane, Melville, NY 11747; Civic Organization; Board Member; 05/01/2025; 1:0: Chamber of Commerce
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Lee Cortez'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
October 14, 2025 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 1805 5th Ave Suite 14, Bay Shore, NY 11706RIA
CRD#: 3487
Bay Shore, NY
Past
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HAMPTON BAYS, NY
Past
December 15, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
HAMPTON BAYS, NY
Past
July 21, 2008 - June 16, 2010
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
NEW YORK, NY
Past
October 20, 2004 - July 9, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
MELVILLE, NY
Past
October 15, 2004 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
October 28, 2003 - September 21, 2004
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
June 29, 2000 - July 17, 2003
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
February 25, 1992 - January 13, 2000
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
September 27, 1991 - November 21, 1991
CHATFIELD DEAN & CO., INC.
BD
CRD#: 14714
GREENWOOD VILLAGE, CO
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.Highlighted states indicate IAR registrations
IAR
Connecticut(10/15/2025)
IAR
New Jersey(10/15/2025)
IAR
New York(10/14/2025)
IAR
Pennsylvania(10/14/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 5/4/1998
General Securities Sales Supervisor Examination (Options Module & General Module)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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487Bay Shore, NY 11706TRUST BUT VERIFY
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