DW
Deborah H. Whitt
STATE FARM INVESTMENT MANAGEMENT
ROCHESTER, NY 14616
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CRD#: 3019134
DW
Professional summary
Deborah Ham Whitt, who also goes by Deborah Ham, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Rochester, New York and STATE FARM VP MANAGEMENT CORP. located in Rochester, New York.
Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Deborah has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deborah Ham
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) DEBORAH WHITT; NON-INVESTMENT-RELATED; 300 WOODCROFT DR ROCHESTER, NY 14616; RETAIL; INDEPENDENT CONTRACTOR; 11/2010; RETAIL AND TRAVEL AGENCY ONLINE, RETAIL OF ELECTRIC AND GAS UTILITIES ON-LINE; PROVIDING AN ON-LINE SERVICE TO SHOP AT A VIRTUAL RETAIL MALL THROUGH YTB INTERNATIONAL INC. FOR RETAIL ITEMS AND TRAVEL SERVICES, USING AMBIT ENERGY AS A SUPPLIER FOR GAS AND ELECTRIC UTILITIES; 16 HRS/MTH-15 DURING TRADING HOURS. 2) Greece Historical Society; non-investment-related; 595 Long Pond Rd Greece NY 14612; Membership/Civic/Fraternal Organization; Board Member; 01/01/2016; 3hr/mo., 1hr/mo.; Assist the board in making decisions to conduct the business of preserving the history of the town., 3) Ham Heritage LLC, non-investment-related, 148 Millhurst Rd Manalapan NJ 07726; Investment or Commercial Property; Partner, 04-15-2016, 25% owner, 4hr/mo., 0hr/mo., Assist with the maintenance and upkeep of the premises 4) Double DW, Inc.; Non-Investment-Related; 664 Edgemere Drive, Rochester, NY 14612; Investment or Commercial Property; Owner; 5/21/2018; 2 HR/MO & 0 HR/MO; To hold and manage real estate property.; Once a property is purchased, then I plan to pay the bills and control the checkbook. 5) Agents Training Seminar; 1436 Lakeridge Dr. Baton Rouge LA 70802; Agents study group that meets on an annual basis. Independent study group; Director; 12/17/2020; 5;2. 6) Deborah Whitt's Insurance Agency; Insurance Agency; Investment-related; 3953 Dewey Ave Rochester, NY 14616-2530; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 10/03/1983; 80; 80; Service customers and supervise employees 7) Gamma Iota Boule Foundation Inc; Non-investment-related; 109 S Union St Suite 100 Rochester NY 14607; Membership/Civic/Fraternal Organization; Board Member; None; 06/15/2023; 5; 2; Discuss where the need is and how the organization can help inform the public about resources available, Not-for-profit charitable organization committed to improving healthy living awareness, economic development, leadership development, and advancing education.
CRS (Client Relationship Summary) - RIA
Click below to view Deborah Ham Whitt'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
February 13, 2023 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 3953 Dewey Ave., Rochester, NY 14616RIA
CRD#: 3487
ROCHESTER, NY
Current
May 14, 1998 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 630 East Avenue Suite 250, Rochester, NY 14607BD
CRD#: 43036
Rochester, NY
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
New York(2/27/2001)
IAR
New York(2/13/2023)
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#: 3487Rochester, NY 14616TRUST BUT VERIFY
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