CA
Carol J. Alford
STATE FARM INVESTMENT MANAGEMENT
Plainview, TX 79072
Some features on this profile are disabled
CRD#: 2619104
CA
Professional summary
Carol Jan Alford, ChFC®, CLU®, who also goes by Jan Alford, Jan Dennis, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Plainview, Texas and STATE FARM VP MANAGEMENT CORP. located in Dunwoody, Georgia.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Carol has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jan Alford | Jan Dennis
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) SAJA PROPERTIES; NON-INVESTMENT RELATED; 2608 OLTON RD, PLAINVIEW, TX, 79072; LLC TO PURCHASE OFFICE BUILDING; PARTNER; 10/2007; 1 HR/MO; 0 HR/MO; ACCEPT RENTAL FEES AND PAY UTILITY BILLS, MAINTENANCE OF BUILDING. 2) Carol Alford's Insurance Agency; Insurance Agency; Investment-related; 2608 Olton Rd Ste A Plainview, TX 79072-6702; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 12/01/2005; 80; 80; Service customers and supervise employees
CRS (Client Relationship Summary) - RIA
Click below to view Carol Jan Alford'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®
Experience
Current
November 21, 2018 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 2608b Olton Rd Ste. A, Plainview, TX 79072RIA
CRD#: 3487
Plainview, TX
Current
June 28, 2005 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 237 Perimeter Center Pkwy Ne, Dunwoody, GA 30346BD
CRD#: 43036
Dunwoody, GA
Past
January 2, 2001 - April 13, 2005
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
December 14, 2000 - January 31, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - January 13, 2001
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
March 2, 2000 - January 17, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
May 17, 1995 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, 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)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
Texas(6/28/2005)
IAR
Texas(11/21/2018)
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
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
