Peng Heng Tay
Professional summary
Peng Heng Tay, who also goes by Peng Heng Tay, Richard Tay, Taylor Tay, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Irvine, California and STATE FARM VP MANAGEMENT CORP. located in Anaheim Hills, California.
Peng Heng is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Peng Heng has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Peng Heng Tay's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2025 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 14210 Colver Dr Suite A, Irvine, CA 92604March 11, 2009 - Present
STATE FARM VP MANAGEMENT CORP.
July 13, 2005 - February 9, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
July 13, 2005 - February 9, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
November 29, 2004 - June 28, 2005
BANCWEST INVESTMENT SERVICES, INC.
July 16, 2004 - June 28, 2005
BANCWEST INVESTMENT SERVICES, INC.
May 19, 2004 - July 8, 2004
DFC INVESTOR SERVICES
Primary Firm SEC Registration
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487 / SEC#: 801-8184, 8-13379
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/28/2025)
(8/5/2025)
(3/11/2009)
(6/27/2025)
(7/28/2025)
(7/29/2025)
(8/25/2025)
(8/29/2025)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487 / SEC#: 801-8184, 8-13379
Contact information
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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