RO
Robert D. Overby
STATE FARM INVESTMENT MANAGEMENT
Shoreview, MN 55126-5604
Some features on this profile are disabled
CRD#: 2353752
RO
Professional summary
Robert Dean Overby, who also goes by Bob Overby, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Shoreview, Minnesota and STATE FARM VP MANAGEMENT CORP. located in Shoreview, Minnesota.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 55, Series 7, Series 11, Series 27, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Overby
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) Robert Overby's Insurance Agency; Insurance Agency; Investment-related; 5928 Lexington Ave N Shoreview, MN 55126-5604; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 07/01/2005; 80; 80; Service customers and supervise employees
CRS (Client Relationship Summary) - RIA
Click below to view Robert Dean Overby'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
May 8, 2023 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 5928 Lexington Ave N, Shoreview, MN 55126-5604RIA
CRD#: 3487
Shoreview, MN
Current
August 26, 2004 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 5928 Lexington Ave N, Shoreview, MN 55126-5604BD
CRD#: 43036
Shoreview, MN
Past
January 9, 2004 - April 26, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ST PAUL, MN
Past
January 9, 2004 - April 26, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 8, 1998 - March 31, 2003
NDX TRADING, INC.
BD
CRD#: 39940
NEW BRIGHTON, MN
Past
April 19, 1996 - June 9, 1998
NDX TRADING, INC.
BD
CRD#: 39940
Past
May 20, 1993 - April 24, 1996
ALL-TECH DIRECT, INC.
BD
CRD#: 13992
MONTVALE, NJ
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
Kansas(2/18/2022)
IAR
Kansas(10/23/2024)
RR
Minnesota(8/26/2004)
IAR
Minnesota(5/8/2023)
RR
North Carolina(7/25/2023)
IAR
North Carolina(10/23/2024)
RR
Wisconsin(1/6/2012)
IAR
Wisconsin(5/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/1/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 11
Date: 5/19/1993
Assistant Representative-Order Processing Qualification ExamPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
