David Woods

STATE FARM INVESTMENT MANAGEMENT

Eagleville, PA 19403

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CRD#: 4476653

Professional summary

David Woods, CLU®, who also goes by Dave Woods, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Eagleville, Pennsylvania and STATE FARM VP MANAGEMENT CORP. located in Eagleville, Pennsylvania.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. David has worked at 7 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Woods

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) David Woods's Insurance Agency; Insurance Agency; Investment-related; 2970 W Germantown Pike Eagleville, PA 19403-1012; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 8/1/2011; 80; 80; Service customers and supervise employees

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Woods'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®

CLU^®

Chartered Life Underwriter

Experience

Current

February 19, 2019 - Present

STATE FARM INVESTMENT MANAGEMENT CORP.

Office #1: 2970 W Germantown Pike, Eagleville, PA 19403

RIA

CRD#: 3487

Eagleville, PA

Current

February 7, 2011 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: 2970 W Germantown Pike , Eagleville, PA 19403

CRD#: 43036

Eagleville, PA

Past

November 5, 2008 - October 18, 2010

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

LANSDALE, PA

Past

July 23, 2008 - October 18, 2010

NATIONWIDE SECURITIES, LLC

CRD#: 11173

LANSDALE, PA

Past

December 13, 2007 - July 17, 2008

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

LANSDALE, PA

Past

March 11, 2005 - January 25, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 11, 2005 - January 25, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

February 5, 2003 - December 31, 2003

LEGG MASON WOOD WALKER, INCORPORATED

RIA

CRD#: 6555

BALTIMORE, MD

Past

January 10, 2002 - December 31, 2003

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

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)

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.

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

Pennsylvania
(2/7/2011)

IAR

Pennsylvania
(2/19/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/23/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/9/2002

General Securities Representative Examination

SRO Registrations

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STATE FARM INVESTMENT MANAGEMENT CORP. WRAP FEE BROCHURE (3/25/2025)

STATE FARM INVESTMENT MANAGEMENT CORP. WRAP FEE PROGRAM BROCHURE (3/25/2025)

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.

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David Woods

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Woods's CRS (Customer Relationship Summary).

Certified licenses

Experience

STATE FARM VP MANAGEMENT CORP.

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

AVANTAX INVESTMENT SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

STATE FARM INVESTMENT MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2002

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/9/2002

FINRA

Current Firm

STATE FARM INVESTMENT MANAGEMENT CORP.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

STATE FARM INVESTMENT MANAGEMENT CORP.

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