JW
Joshua E. Whitley
STATE FARM INVESTMENT MANAGEMENT
Lumberton, NC 28358
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CRD#: 4243377
JW
Professional summary
Joshua E Whitley, who also goes by Josh Whitley, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Lumberton, North Carolina and STATE FARM VP MANAGEMENT CORP. located in Lumberton, North Carolina.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Joshua has worked at 3 firms and has passed the Series 65, Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Josh Whitley
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) Joshua Whitley's Insurance Agency; Insurance Agency; Investment-related; 514 Peterson Dr Lumberton NC 28358; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 12/1/2004; 80; 80; Service customers and supervise employees 2) Southeastern Health Foundation; non-investment-related; 403 W. 27th Street, Lumberton, NC 28358; Fundraising Activities/Community Outreach to improve patient and employee hospital experience; Board Member, 01/01/2022; 3 Mo/0 Mo; Provide support for fundraising and distribution of funds raised. 3) Lumberton High School Pirate Booster Club; non-investment-related; 3901 Fayetteville Rd Lumberton NC 28358; Education; Board Member; Secretary; 09/27/2023; 4; 0; LHS Pirate Booster Club is the fundraising arm of Lumberton High School in Lumberton, NC. I have been asked to serve as the secretary of this group, which will involve taking minutes of meetings. As a board member, I would also be voting on fundraising and expenditure decisions to athletic programs at Lumberton High School. 4) LHS Pirate Booster Club, Inc; Non-Investment-related; 13 Trinity Dr Lumberton, NC 28358; Education; Director/Treasurer; 07/01/2024; 2; 0; The LHS Pirate Booster Club is the Booster Club/fundraising arm for Lumberton Senior High School. Our role is to solicit and receive donations and then distribute funds to various athletic programs at the high school. 5) Cape Fear Council Boy Scouts of America Executive Board; non-investment related; 110 Longstreet Dr Wilmington, NC 28412; Membership/Civic/Fraternal Organization; other; none; 09/01/2024; 4; 0; Committee
CRS (Client Relationship Summary) - RIA
Click below to view Joshua E Whitley'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
December 18, 2018 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 514 Peterson Dr, Lumberton, NC 28358RIA
CRD#: 3487
Lumberton, NC
Current
December 19, 2002 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 514 Peterson Dr, Lumberton, NC 28358-2600BD
CRD#: 43036
Lumberton, NC
Past
March 28, 2002 - October 18, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SOUTHERN PINES, NC
Past
October 11, 2000 - October 18, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, 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
North Carolina(12/19/2002)
IAR
North Carolina(12/18/2018)
RR
South Carolina(1/22/2021)
IAR
South Carolina(8/16/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
