Adam B. Weissberger
Professional summary
Adam Brett Weissberger was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Adam is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Adam had worked at 6 firms, which includes STATE FARM VP MANAGEMENT CORP., PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC, WAMU INVESTMENTS INC., EQUITABLE ADVISORS LLC, SANDS BROTHERS & CO. LTD., FORESTERS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2011 - August 21, 2013
STATE FARM VP MANAGEMENT CORP.
June 8, 2007 - July 6, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 18, 2004 - November 4, 2005
WAMU INVESTMENTS, INC.
November 18, 2004 - November 4, 2005
WAMU INVESTMENTS, INC.
November 24, 2003 - May 7, 2004
STATE FARM VP MANAGEMENT CORP.
August 5, 2002 - September 26, 2002
EQUITABLE ADVISORS, LLC
June 4, 2001 - July 25, 2002
SANDS BROTHERS & CO., LTD.
December 15, 2000 - May 11, 2001
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
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 | 7 |
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