CG
Clifford J. Gaubert
STATE FARM INVESTMENT MANAGEMENT
SPARTANBURG, SC 29302
Some features on this profile are disabled
CRD#: 3012678
CG
Professional summary
Clifford John Gaubert JR, who also goes by Cliff Gaubert, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Spartanburg, South Carolina and STATE FARM VP MANAGEMENT CORP. located in Dunwoody, Georgia.
Clifford is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Clifford has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cliff Gaubert
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) Cliff Gaubert's Insurance Agency; Insurance Agency; Investment-related; 844 E Main St Spartanburg, SC 29302; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 09/01/1998; 80; 80; Service customers and supervise employees 2) CED Real Estate Holdings, LLC; Investment-related; 844 East Main St., Spartanburg, SC 29302; Investment or Commercial Property; Owner; Owner; 6/1/2005; 0; 0; no duties. 3) Croft Fire District; Non-investment-related; 370 Cedar Springs Rd., Spartanburg, SC 29302; Public Service; Board Member; Board Member; 1/1/2016; 1; 0; help oversee various aspects of the fire department. 4) 105 Bellot Street LLC; Investment-related; 831 Inverness Circle Spartanburg, SC 29306; Investment Property; Owner; President; 9/27/2023; 1; 1; Created LLC to rent a house. 5) GT Holdings LLC; non-investment-related; 831 Inverness Circle Spartanburg, SC 29306; purchasing building between offices to control tenants; Partner; 02/26/2024; 0; 0; General business. Hoping to have an accountant in the office space or another type of respectable business.
CRS (Client Relationship Summary) - RIA
Click below to view Clifford John Gaubert JR'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 21, 2023 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 844 E Main St, Spartanburg, SC 29302RIA
CRD#: 3487
SPARTANBURG, SC
Current
March 19, 1998 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 237 Perimeter Center Pkwy Ne, Dunwoody, GA 30346BD
CRD#: 43036
Dunwoody, GA
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
Louisiana(9/5/2007)
IAR
Louisiana(10/10/2024)
RR
North Carolina(10/14/2025)
IAR
North Carolina(10/16/2025)
RR
South Carolina(2/1/2001)
IAR
South Carolina(6/21/2023)
Exams
State Security Law Exam
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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Check for any disclosures as part of your thorough research when choosing an advisor.
