AC
Andrew J. Capets
STATE FARM INVESTMENT MANAGEMENT
Monroeville, PA 15146-2754
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CRD#: 3047354
AC
Professional summary
Andrew Joseph Capets is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Monroeville, Pennsylvania and STATE FARM VP MANAGEMENT CORP. located in Monroeville, Pennsylvania.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Andrew 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
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) Trafford Historical Society, non-investment related,416 Brinton Ave Tafford PA 15085; Membership/Civic/Fraternal Organization; 07-06-2016, This is a new history club or historical society. President; 5;0. 2) Self-Publishing Book; non-investment related, 2257 Lindale Court N Huntingdon PA 15642; Retail; owner, 09-11-2017, 100%, I am using this form to advise of the release of a self-published book that will be sold on Amazon.com and my website goodwargreatmen.com The book has not yet been published. It will be available in print within the next 30 days. commission, After the book is published I will offer speaking engagements/lectures at local historical societies looking to commemorate the 100th Anniversary of World War I. No fee will be collected for speaking. Books will be offered for sale at the lectures. 12hr/mo.; 0hr/mo. 3) Trafford Historical Society; non-investment related; 416 Brinton Ave, Trafford 15085, The Trafford Historical Society has been established as a non-profit organization for the purposes of preserving the history of Trafford, Pennsylvania, and its early settlements in Westmoreland County. The Society will aid in the recovery and preservation of artifacts, relics, photographs, documents and historic sites. The Society shall maintain and preserve these documents, artifacts, relics, and photographs deemed appropriate and approved by the Board of Directors. ; President and officer; 12/12/2019; 5;0. 4) Trafford American Legion Post 331; non-investment-related; 216 Cavitt Ave., Trafford, PA, 15085; membership, fraternal, civic organization; officer; Second Vice Commander; 8/10/21; 5; 0; The second vice commander is responsible for building an atmosphere in which Legionnaires have fun while accomplishing the mission of your American Legion post help run operations to spice up meetings and attract members to the post, fill the social calendar months in advance with activities designed to engage members, contact other veterans and civic groups to verify each patriotic holiday and observance receives the respect it deserves, look for ways to involve members in post activities, operations and programs to assist the first vice commander by providing improved member retention. 5) Andrew Capets's Insurance Agency; Insurance Agency; Investment-related; 4229 Northern Pike Monroeville, PA 15146-2754; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 7/1/2000; 80; 80; Service customers and supervise employees 6) Andrew Capets - Property #1 (Personally Held Real Estate); investment-related; 4229 Northern Pike Monroeville, PA 15146; Investment or Commercial Property; Owner; none;03/23/2004; 4; 0; Duties: Personally Held Real Estate
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Joseph Capets'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
March 28, 2019 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 4229 Northern Pike, Monroeville, PA 15146-2754RIA
CRD#: 3487
Monroeville, PA
Current
May 27, 1998 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 4229 Northern Pike, Monroeville, PA 15146-2754BD
CRD#: 43036
Monroeville, PA
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
Pennsylvania(2/8/2001)
IAR
Pennsylvania(3/28/2019)
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.
