Heather A. Swartz

STATE FARM VP MANAGEMENT

Baytown, TX 77521

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CRD#: 4001616

Professional summary

Heather Anne Swartz is a registered financial professional currently at STATE FARM VP MANAGEMENT CORP. located in Baytown, Texas.

Heather is registered as a RR (Registered Representative) and started their career in finance in 1999. Heather has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Heather Anne Swartz's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 7, 2023 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: 4406 N Main St, Baytown, TX 77521

CRD#: 43036

Baytown, TX

Past

May 16, 2013 - June 2, 2021

BBVA SECURITIES INC.

CRD#: 27060

CROSBY, TX

Past

June 26, 2008 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

KINGWOOD, TX

Past

April 28, 2006 - May 22, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

KINGWOOD, TX

Past

October 14, 1999 - January 26, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Texas
(2/7/2023)

Exams

State Security Law Exam

Series 63

Date: 5/10/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/8/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/27/2006

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 31

Date: 11/15/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/13/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036 / SEC#: , 8-50128

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One State Farm Plaza, Bloomington, IL 61710-0001

Mailing Address

One State Farm Plaza, Bloomington, IL 61710-0001

Phone number

(833) 430-8518

Established

Delaware since 11/27/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STATE FARM INVESTMENT MANAGEMENT	SHAREHOLDER	3487
COOK, KRISTYN	EXECUTIVE VICE PRESIDENT AND DIRECTOR	4215717
FARNEY, JON CHARLES	PRESIDENT AND DIRECTOR	2839964
GHANBARPOUR, ARASH	VICE PRESIDENT AND DIRECTOR	5129325
HINTZ, SCOTT ALEXANDER	VICE PRESIDENT - FINANCIAL AND SECRETARY	2004555
LUDWIG, TERRENCE MICHAEL	CHIEF COMPLIANCE OFFICER AND TREASURER	3231040
MINEAU, SARAH	SENIOR VICE PRESIDENT AND DIRECTOR	4634160
MONTGOMERY, BRADLEY DOYLE	SENIOR VICE PRESIDENT AND DIRECTOR	2913835
PRESTON, BRIAN LYNN	ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER	4312143
WILLARD, DANIEL NELSON	ASSISTANT SECRETARY AND COUNSEL	5207081

Disclosures

Regulatory Event

Red Flags

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Heather A. Swartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Heather Anne Swartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

BBVA SECURITIES INC.

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CHASE INVESTMENT SERVICES CORP.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/10/2006

Series 65

Date: 11/8/1999

SIE

Date: 10/1/2018

Series 6

Date: 4/27/2006

Series 31

Date: 11/15/1999

Series 7

Date: 10/13/1999

FINRA

Current Firm

STATE FARM VP MANAGEMENT CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STATE FARM VP MANAGEMENT CORP.

TRUST BUT VERIFY

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