KO
Kit K. Okazaki
STATE FARM INVESTMENT MANAGEMENT
Makawao, HI 96768
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CRD#: 4496501
KO
Professional summary
Kit Katsumi Okazaki, who also goes by Kit K Okazaki, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Makawao, Hawaii and STATE FARM VP MANAGEMENT CORP. located in Makawao, Hawaii.
Kit is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Kit has worked at 4 firms and has passed the Series 65, Series 66, Series 6TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kit K Okazaki
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) GOOFYFOOT RECORDS, LLC; NON-INVESTMENT-RELATED; 233 EHILANI STREET, MAKAWAO, HI 96768; 2/04; OTHER-RECORD LABEL; PARTNER; 3 HRS/MO, 0 DURING TRADING HOURS; PLAY MUSIC AND BOOKKEEPING. 2) TRUSTEE OF SEABURY HALL SCHOOL; NON-INVESTMENT-RELATED; 480 OLINDA RD, MAKAWAO, HI 96768; EDUCATION; TRUSTEE 0%; 7/1/14; ASSIST IN THE DIRECTION OF THE SCHOOL; 4 HRS/MO; 2 HRS/MO. 3. SEABURY HALL; NON-INVESTMENT-RELATED; 480 OLINDA RD, MAKAWAO HI 96768; SCHOOL; TRUSTEE; 09/30/2014; 4HR/MO; 4HR/MO; ASSIST IN SELECTION AND REVIEW OF SCHOOL HEAD. 3) PEAHI INVESTMENT LLC; INVESTMENT-RELATED; PO BOX 880931 PUKALANI HI 96788; PARTNER 25%, 01/15/2014; 0HR/MO; 0HR/MO; NONE. 4) Maui Chamber of Commerce; Non-Investment-Related; 95 Mahalani Street, suite 22A, Wailuku, HI 96793; Director; 1/1/2018; 6 HR/MO & 0 HR/MO; Run board meetings and exec committee meetings, review performance of Chamber president. Member of a Finance Committee, Vote on investing in CD's or Money Market Accounts (bank products), Review bank statements. Review organizations financials, including pnl and balance sheet. 5) Kit Okazaki's Insurance Agency; Insurance Agency; Investment-related; 81 Makawao Ave Ste 105 Makawao, HI 96768-8894; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 11/1/2010; 80; 80; Service customers and supervise employees
CRS (Client Relationship Summary) - RIA
Click below to view Kit Katsumi Okazaki'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
June 15, 2023 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 81 Makawao Ave Suite 105, Makawao, HI 96768RIA
CRD#: 3487
Makawao, HI
Current
May 3, 2010 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 81 Makawao Ave Ste 105, Makawao, HI 96768-8894BD
CRD#: 43036
Makawao, HI
Past
April 4, 2005 - February 17, 2010
BANKOH INVESTMENT SERVICES, INC.
RIA
CRD#: 29280
WAILUKU, HI
Past
April 14, 2004 - May 3, 2004
BANKOH INVESTMENT SERVICES, INC.
RIA
CRD#: 29280
WAILUKU, HI
Past
April 14, 2004 - February 17, 2010
BANKOH INVESTMENT SERVICES, INC.
BD
CRD#: 29280
WAILUKU, HI
Past
June 27, 2002 - April 15, 2004
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WAILUKU, HI
Past
March 5, 2002 - April 15, 2004
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Hawaii(5/3/2010)
IAR
Hawaii(6/15/2023)
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
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.
Company Information
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487Makawao, HI 96768TRUST BUT VERIFY
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