TH
Tracy A. Hough
STATE FARM INVESTMENT MANAGEMENT
Council Bluffs, IA 51503
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CRD#: 4310923
TH
Professional summary
Tracy Ann Hough, ChFC®, who also goes by Tracy Ann Hough, Tracy Ann Hough-hunter, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Council Bluffs, Iowa and STATE FARM VP MANAGEMENT CORP. located in Council Blfs, Iowa.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Tracy has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracy Ann Hough | Tracy Ann Hough-Hunter
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) Tracy Hough's Insurance Agency; Insurance Agency; Investment-related; 928 Valley View Dr Ste 4 Council Blfs, IA 51503-5288; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 04/01/2001; 80; 80; Service customers and supervise employees
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Ann Hough'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
November 2, 2020 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 928 Valley View Village Ste. 4, Council Bluffs, IA 51503RIA
CRD#: 3487
Council Bluffs, IA
Current
November 29, 2000 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 928 Valley View Dr Ste 4, Council Blfs, IA 51503BD
CRD#: 43036
Council Blfs, IA
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
Arizona(6/17/2021)
IAR
Arizona(11/7/2024)
RR
Iowa(12/6/2000)
IAR
Iowa(11/2/2020)
RR
Minnesota(4/24/2014)
IAR
Minnesota(10/22/2024)
RR
Nebraska(1/18/2001)
IAR
Nebraska(11/4/2020)
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
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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.
Company Information
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487Council Bluffs, IA 51503TRUST BUT VERIFY
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