Anthony W. Smith

STATE FARM INVESTMENT MANAGEMENT

Bossier City, LA

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CRD#: 2603841

Professional summary

Anthony Wayne Smith, ChFC®, who also goes by Anthony W Smith, Tony Smith, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Bossier City, Louisiana and STATE FARM VP MANAGEMENT CORP. located in Richardson, Texas.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Anthony has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony W Smith | Tony 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) SweetTee Properties; Investment-related; 512 Hunters Run, Bossier City, La 71111; residential rental properties; owner 50%; 3/1/16; purchasing homes, management of properties included selection of renters; 4 hrs./mo.; 0 hrs./mo.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Wayne Smith's CRS (Customer Relationship Summary).

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®

ChFC^®

Chartered Financial Consultant

Experience

Current

August 13, 2018 - Present

STATE FARM INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 3487

Bossier City, LA

Current

October 1, 2002 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: 1251 State Street Ste. 1000, Richardson, TX 75082

CRD#: 43036

Richardson, TX

Past

February 6, 2006 - October 4, 2007

STATE FARM INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 3487

INDEPENDENCE, MO

Past

November 3, 2004 - April 13, 2005

STATE FARM INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 3487

LITTLE ROCK, AR

Past

October 11, 2000 - September 10, 2002

LPL FINANCIAL LLC

RIA

CRD#: 6413

EL DORADO, AR

Past

September 27, 2000 - September 10, 2002

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

July 16, 1999 - September 27, 2000

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

SAN ANTONIO, TX

Past

March 14, 1997 - July 27, 1999

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

December 2, 1996 - March 18, 1997

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

July 21, 1995 - November 5, 1996

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

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)

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.

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

Arkansas
(2/23/2013)

IAR

Arkansas
(8/13/2018)

Louisiana
(2/7/2013)

IAR

Louisiana
(8/13/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/16/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/19/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/20/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/20/2000

General Securities Principal Examination

SRO Registrations

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STATE FARM INVESTMENT MANAGEMENT CORP. WRAP FEE BROCHURE (3/25/2025)

STATE FARM INVESTMENT MANAGEMENT CORP. WRAP FEE PROGRAM BROCHURE (3/25/2025)

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.

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Firm Stability Insights

Anthony W. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Wayne Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

STATE FARM VP MANAGEMENT CORP.

STATE FARM INVESTMENT MANAGEMENT CORP.

STATE FARM INVESTMENT MANAGEMENT CORP.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVESTMENT PROFESSIONALS, INC.

A. G. EDWARDS & SONS, INC.

NATIONAL PLANNING CORPORATION

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

STATE FARM INVESTMENT MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/16/1998

Series 63

Date: 6/23/1995

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1997

Series 6

Date: 7/20/1995

Series 24

Date: 11/20/2000

FINRA

Current Firm

STATE FARM INVESTMENT MANAGEMENT CORP.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

STATE FARM INVESTMENT MANAGEMENT CORP.

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