SW
Stephen A. Woodrum
STATE FARM INVESTMENT MANAGEMENT
Frankfort, KY 40601
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CRD#: 3066049
SW
Professional summary
Stephen Arthur Woodrum, who also goes by Steve Woodrum, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Frankfort, Kentucky and STATE FARM VP MANAGEMENT CORP. located in Georgetown, Kentucky.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Stephen 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
Steve Woodrum
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) Stephen Woodrum's Insurance Agency; Insurance Agency; Investment-related; 102 Finley Dr Ste 80 Georgetown, KY 40324-6009; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 8/1/2000; 80; 80; Service customers and supervise employees 2) Saw Holdings LLC; investment-related; 102 Finley Drive Georgetown, KY 40324; Investment or Commercial Property; owner; owner; 05/16/2020; 10; 10; SAW HOLDINGS NO LONGER OPERATES AS A ROCKET MORTGAGE BROKERAGE. BROKERAGE WAS SURRENDERED 10/26/2022. SAW HOLDINGS WILL CONTINUE TO ONLY FUNCTION AS AN LLC TO HOLD REAL ESTATE FOR USE AS A STATE FARM AGENCY. 3) SWAH Aviation, LLC; non-investment-related; 166 Cherry Hill Drive Georgetown, KY 40324; Membership/Civic/Fraternal Organization; Partner; President; 1/1/2024; 5; 2; LLC that will own light aircraft and lease back and rent the aircraft to flight school and students for training and licensed aviators for travel. 4) Mad@MD; non-investment-related; 166 Cherry Hill Drive Georgetown, KY 40324; Non-profit; director; none; 1/1/2024; 5; 2; 501c3 Charitable Organization related to Muscular Dystrophy 5) Georgetown Scott County Airport Board; non-investment-related; 6206 Paris Pike Georgetown, KY 40324; Public Service; Board Member; None; 1/1/2024; 3.5; 3; Duties: Board Member Georgetown Scott County Airport 6) Scott County United/Scott Count Chamber of Commerce; non-investment-related; 160 East Main Street Georgetown, KY 40324; Membership/Civic/Fraternal Organization; Board member; none; 2/28/2024; 1; 0; Committee: is an economic development organization that operates under the umbrella of the chamber.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Arthur Woodrum'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 14, 2019 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 126 Brighton Park Blvd Suite 126, Frankfort, KY 40601Office #2: 102 Finley Dr Ste 80, Georgetown, KY 40324-6009RIA
CRD#: 3487
Frankfort, KY
Current
September 23, 1998 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 102 Finley Dr Ste 80, Georgetown, KY 40324-6009BD
CRD#: 43036
Georgetown, 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
Indiana(9/19/2022)
IAR
Indiana(9/20/2022)
RR
Kentucky(1/23/2001)
IAR
Kentucky(6/14/2019)
RR
Ohio(6/9/2022)
IAR
Ohio(6/9/2022)
RR
Tennessee(10/11/2023)
RR
Virginia(4/13/2021)
IAR
Virginia(6/9/2022)
RR
West Virginia(1/14/2025)
IAR
West Virginia(1/15/2025)
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
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.
