AE
Andrew R. Esquivel
STATE FARM INVESTMENT MANAGEMENT
Healdsburg, CA 95448-3608
Some features on this profile are disabled
CRD#: 3258655
AE
Professional summary
Andrew Ramirez Esquivel III, ChFC®, CLU®, who also goes by Andy Esquivel III, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Healdsburg, California and STATE FARM VP MANAGEMENT CORP. located in Healdsburg, California.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Andrew has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy Esquivel Iii
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) HEALDSBURG WRESTLING CLUB; NON-INVESTMENT-RELATED; PO BOX 2154 HEALDSBURG CA 95448; WRESTLING CLUB; PRESIDENT/BOARD MEMBER; 11/04/2014; 4HR/MO; 0HR/MO; LEAD MEETINGS, RECRUIT BOARD MEMBERS, FUNDRAISING. 2) ROTARY CLUB OF HEALDSBURG SUNRISE; NON-INVESTMENT-RELATED; PO BOX 302, HEALDSBURG, CA,95448; NON-PROFIT CLUB; BOARD MEMBER; 2/1/2015; 2 HR/MO; 0 HR/MO; MEMBER OF FINANCE COMMITTEE, FOLLOW PROCEDURES. 3) Healdsburg Wrestling Club; non-investment-related; 6/13/18; Officer; 0%; 718 Healdsburg Ave Ste A; Healdsburg, CA 95448: is a non-profit organization to support youth wrestling. We run a youth wrestling program and we raise money to support youth wrestling in our club and local schools; have been nominated to become the treasurer on June 13, 2018. I would not have any check signing authority; will prepare the checks but they would be signed by the president or other officer.; 3 hrs./mo.; 0 hrs./mo. 4) Andrew Esquivel's Insurance Agency; Insurance Agency; Investment-related; 637 Healdsburg Ave Healdsburg, CA 95448-3608; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 12/01/1999; 80; 80; Service customers and supervise employees 5) Andy Esquivel Property#1 (Personally Held Real Estate); investment-related; 637 Healdsburg Ave Healdsburg, CA 95448S; Investment or Commercial Property; Owner; none; 3/7/2010; 1; 0; Duties: Personally Held Real Estate
CRS (Client Relationship Summary) - RIA
Click below to view Andrew Ramirez Esquivel III'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®
Experience
Current
February 18, 2021 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 637 Healdsburg Ave, Healdsburg, CA 95448-3608RIA
CRD#: 3487
Healdsburg, CA
Current
October 25, 1999 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 637 Healdsburg Ave, Healdsburg, CA 95448-3608BD
CRD#: 43036
Healdsburg, CA
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
California(1/3/2001)
IAR
California(2/18/2021)
RR
Indiana(10/18/2024)
IAR
Indiana(2/7/2025)
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
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487Healdsburg, CA 95448-3608TRUST BUT VERIFY
Monitor Andrew Esquivel
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
