SV
Stephen J. Vargo
STATE FARM INVESTMENT MANAGEMENT
Wyandotte, MI 48192
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CRD#: 2702092
SV
Professional summary
Stephen Joseph Vargo, who also goes by Steve Vargo, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Wyandotte, Michigan and STATE FARM VP MANAGEMENT CORP. located in Wyoming, Michigan.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 7 firms and has passed the Series 65, Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Vargo
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) Archangel Ventures LLC; non-investment-related; 1811 Fort St, Wyandotte, MI 48192; Investment or Commercial Property; owner; President; 11/20/17; 100%; This LLC will own the building that my agency is housed in as well as passive investments (rental properties) at some point in the future; 1; 1. 2) Rite Way Vending; non-investment-related; 536 Oak St, Wyandotte, MI 48192; Vendor; inheriting this business from my father who has passed away.; 4/15/19; 100%; servicing several gumball/vending machines and donating the profits to charity.; 4; 4. 3) Stephen Vargo's Insurance Agency; Insurance Agency; Investment-related; 1811 Fort St Wyandotte, MI 48192-3545; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 11/01/2014; 80; 80; Service customers and supervise employees
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Joseph Vargo'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
December 4, 2018 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 1811 Fort Street, Wyandotte, MI 48192RIA
CRD#: 3487
Wyandotte, MI
Current
June 26, 2013 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 1428 44th St Sw Ste C, Wyoming, MI 49509BD
CRD#: 43036
Wyoming, MI
Past
November 15, 2007 - May 24, 2013
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
WOODHAVEN, MI
Past
November 15, 2007 - May 24, 2013
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
WOODHAVEN, MI
Past
November 6, 2006 - October 23, 2007
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
RIVERVIEW, MI
Past
October 24, 2006 - October 23, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
RIVERVIEW, MI
Past
November 7, 1997 - September 3, 2002
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
January 3, 1997 - November 17, 1997
FIRST OF MICHIGAN CORPORATION
BD
CRD#: 311
DETROIT, MI
Past
February 22, 1996 - January 21, 1997
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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
Michigan(7/3/2013)
IAR
Michigan(12/4/2018)
Exams
State Security Law Exam
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
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
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#: 3487Wyandotte, MI 48192TRUST BUT VERIFY
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