GR
Gina C. Rocco-green
STATE FARM INVESTMENT MANAGEMENT
Spokane Vly Q, WA 99206
Some features on this profile are disabled
CRD#: 2895020
GR
Professional summary
Gina Christy Rocco-green, who also goes by Gina Christy Rocco, Gina C Rocco-green, Gina Christy Rocco, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Spokane Vly Q, Washington and STATE FARM VP MANAGEMENT CORP. located in Dunwoody, Georgia.
Gina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Gina has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Gina Christy Rocco | Gina C Rocco-Green | Gina Christy Rocco
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) Pawsitive Outreach Spay/Neuter Alliance; Non-Investment-Related; 1802 N Shore Diamond Lake Rd., Newport, WA 99156; Service Industry; Board Member; 7/1/2021; 8, 0; Process adoption applications for the rescue. 2) David Christy's Insurance Agency; Insurance Agency; Investment-related; 12120 E Mission Ave Ste 1 Spokane Vly, WA 99206-5378; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Agent employee; Agent Team Member; 10/10/2019; 80; 80; Service customers 3) Dave Christy Speaking, LLC; Investment-Related; 7522 S HANGMAN VALLEY RD SPOKANE , WA 99224; Investment or Commercial Property; Owner; None; 12/01/2024; 12; None
CRS (Client Relationship Summary) - RIA
Click below to view Gina Christy Rocco-green'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
January 13, 2021 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 12120 E Mission Ave Ste 1, Spokane Vly Q, WA 99206Office #2: 621 W Mallon Ave, Spokane, WA 99201RIA
CRD#: 3487
Spokane Vly Q, WA
Current
November 12, 2019 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 237 Perimeter Center Pkwy Ne, Dunwoody, GA 30346BD
CRD#: 43036
Dunwoody, GA
Past
July 30, 2019 - August 15, 2019
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
SPOKANE VALLEY, WA
Past
August 1, 2016 - July 12, 2019
ROBERT W. BAIRD & CO. INCORPORATED
RIA
CRD#: 8158
Spokane, WA
Past
March 30, 2016 - July 12, 2019
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
Spokane, WA
Past
August 18, 2015 - March 28, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SPOKANE, WA
Past
February 4, 2013 - June 10, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
SPOKANE, WA
Past
April 5, 2011 - February 7, 2013
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
SPOKANE, WA
Past
January 1, 2011 - February 24, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
SPOKANE, WA
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
California(11/12/2019)
IAR
California(1/13/2021)
RR
Idaho(11/12/2019)
IAR
Idaho(1/15/2021)
RR
Oregon(11/12/2019)
IAR
Oregon(1/13/2021)
RR
Washington(11/12/2019)
IAR
Washington(1/13/2021)
Exams
State Security Law Exam
State Security Law Exam
General 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.
