CT
Carolyn T. Thompson
STATE FARM INVESTMENT MANAGEMENT
Williamstown, KY 41097-8500
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CRD#: 2933150
CT
Professional summary
Carolyn Thomas Thompson is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Williamstown, Kentucky and STATE FARM VP MANAGEMENT CORP. located in Williamstown, Kentucky.
Carolyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Carolyn has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) GRANT COUNTY EDUCATION FOUNDATION; NON-INVESTMENT RELATED; 820 ARNIE RISEN BLVD WILLIAMSTOWN, KY 41097; OFFICER; 6/1/2020; EDUCATIONAL SCHOLARSHIPS FOR LOCAL STUDENTS; 0; 0; WENT FROM VP TO PRESIDENT WHEN PRESIDENT RETIRED--NO CHANGE IN DUTIES EXCEPT CALLING THE MEETING TO ORDER--MEETS ONCE A YEAR FOR LUNCH MEETING. 2) St. Elizabeth Healthcare Foundation Community Relations Committee; 1 Medical Village Dr., Edgewood, KY 41017; Non-Investment Related; Chairperson; 01/01/2012; Fundraising for projects beyond the budget of the hospital; Chairperson of Community Relations Committee; Assist with Planning for Fundraising Events; 3 HR/MO for both. 3) RELAY FOR LIFE; NON-INVESTMENT-RELATED; 297 BUTTERMILK PIKE FT MITCHELL KY 41017; FUNDRAISING; CHAIRPERSON; 01/01/1999; 4 HRS/MO; 0 HRS/MO; RAISE MONEY FOR MY RELAY TEAM TO DONATE TO ACS 4) Carolyn Thomas-Thompson's Insurance Agency; Insurance Agency; Investment-related; 1406 N Main St Williamstown, KY 41097-8500; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 4/1/1998; 80; 80; Service customers and supervise employees 5) GRANT COUNTY CHAMBER OF COMMERCE BOARD OF IRECTORS; non-investment-related; 1350 NOTH MAIN STREET WILLIAMSTOWN KY 41097; Membership/Civic/Fraternal Organization; Director (includes sitting on Board of Directors); None; 08/15/2013; 1; 0; ATTEND BOARD MEETINGE EVERY OTHER MONTH TO REVIEW ACTIVITIES AND CALENDAR OF THE CHAMBER, CHAMBER OF COMMERCE--PROMOTES LOCAL BUSINESSES AND PROVIDES NETWORKING OPPORTUNITIES 6) GRANT COUNTY HIGH SCHOOL ALUMNI ASSOCIATION; Investment-Related; 820 ARNIE RISEN BLVD WILLIAMSTOWN, KY 41097; Investment or Commercial Property; Owner; None; 03/18/2025; 2; 0; HELPED ORGANIZE THE ASSOCIATION THAT WILL ORGANIZE AND VOTE ON BY-LAWS AND OFFICERS ON MARCH 18, 2025
CRS (Client Relationship Summary) - RIA
Click below to view Carolyn Thomas Thompson'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
June 26, 2023 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 1406 N Main St, Williamstown, KY 41097-8500RIA
CRD#: 3487
Williamstown, KY
Current
November 19, 1997 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 1406 N Main St, Williamstown, KY 41097-8500BD
CRD#: 43036
Williamstown, KY
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
Kentucky(1/23/2001)
IAR
Kentucky(6/26/2023)
Exams
State Security Law 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
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Company Information
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487Williamstown, KY 41097-8500TRUST BUT VERIFY
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