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Steven Benjamin Lange

CRD# 4422407·Registered 2005 - 2017
Previously Registered: Being a previously registered professional could mean that Steven is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Steven Benjamin Lange, who also goes by Steve Lange, was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 2005 - 2017. Steven had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Steve Lange

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

19 years in the financial services industry

Current & Past Employments

STATE FARM VP MANAGEMENT CORP.·CRD# 43036
BD
Bloomington, IL
June 27, 2015 - November 2, 2017
ROBERT W. BAIRD & CO. INCORPORATED·CRD# 8158
RIA
Eau Claire, WI
July 6, 2012 - July 15, 2013
ROBERT W. BAIRD & CO. INCORPORATED·CRD# 8158
BD
Eau Claire, WI
June 4, 2012 - July 15, 2013
UBS SECURITIES LLC·CRD# 7654
BD
New York, NY
December 8, 2009 - May 8, 2012
UBS SECURITIES LLC·CRD# 7654
BD
Stamford, CT
September 15, 2005 - August 21, 2007

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Current Firm

SF
STATE FARM VP MANAGEMENT CORP.

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036 / SEC#: 8-50128
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STATE FARM INVESTMENT MANAGEMENTSHAREHOLDER3487
COOK, KRISTYNEXECUTIVE VICE PRESIDENT AND DIRECTOR4215717
FARNEY, JON CHARLESPRESIDENT AND DIRECTOR2839964
GHANBARPOUR, ARASHVICE PRESIDENT AND DIRECTOR5129325
HINTZ, SCOTT ALEXANDERVICE PRESIDENT - FINANCIAL AND SECRETARY2004555
KRISCHEL, AMY LYNNASSISTANT VICE PRESIDENT4810392
LUDWIG, TERRENCE MICHAELCHIEF COMPLIANCE OFFICER AND TREASURER3231040
MINEAU, SARAHSENIOR VICE PRESIDENT AND DIRECTOR4634160
MONTGOMERY, BRADLEY DOYLESENIOR VICE PRESIDENT AND DIRECTOR2913835
PRESTON, BRIAN LYNNANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER4312143
WIEDUWILT, ANDREW PATRICKVICE PRESIDENT8074278
WILLARD, DANIEL NELSONASSISTANT SECRETARY AND COUNSEL5207081

Disclosures

Regulatory Event

7

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2012About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2009About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2017About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jan 2012About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Jan 2010

Series 7 — General Securities Representative Examination

Passed Dec 2009About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Oct 2011About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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