JM
James P. Morgan
STATE FARM INVESTMENT MANAGEMENT
Wichita, KS 67235
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CRD#: 4802172
JM
Professional summary
James Paul Morgan III, who also goes by James Paul Morgan, Jim Paul Morgan III, Jim Paul Morgan, Jp Paul Morgan III, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Wichita, Kansas and STATE FARM VP MANAGEMENT CORP. located in Wichita, Kansas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 6 firms and has passed the Series 65, Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Paul Morgan | Jim Paul Morgan Iii | Jim Paul Morgan | Jp Paul Morgan Iii
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) Jim Morgan Insurance Agency; Investment-related;13303 W Maple St Ste 103 Wichita, KS 67235-8758; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 08/01/2013; 80; 80; Service customers and supervise employees. 2) JLJJ Homes, LLC; investment-related; 13303 W. Maple St., Ste 103, Wichita, KS 67235; Investment or Commercial Property; Owner; Owner; 5/25/2018; 40; 0; control of checkbook, review bank statements, make deposits, pay bills/co-signor on checking account, management, tenant screening, collecting rent, building maintenance. 3) Jim Morgan - Property #1 (Personally Held Real Estate); investment-related; 3301 Murdock Ave Wichita, KS 67203; Investment or Commercial Property; Owner; none; 8/1/2018; 1; 0; Duties: Privately held rental building 4) Jim Morgan - Property #2 (Personally Held Real Estate); investment-related; 9913 W. Westlakes Ct Wichita, KS 67205; Investment or Commercial Property; Owner; none; 8/1/2019; 1; 0; Duties: Privately held rental building. 5) Jim Morgan - Property #1 (Personally Held Real Estate); Investment-Related; 9913 W. Westlakes Ct Wichita, KS 67205; Investment or Commercial Property; Owner; 08/01/2019; 5; 0; Personally owned real estate.
CRS (Client Relationship Summary) - RIA
Click below to view James Paul Morgan III'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
December 4, 2018 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 13303 W. Maple St. Ste. 103, Wichita, KS 67235RIA
CRD#: 3487
Wichita, KS
Current
July 3, 2012 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 13303 W Maple St Ste 103, Wichita, KS 67235-8758BD
CRD#: 43036
Wichita, KS
Past
July 11, 2011 - May 31, 2012
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
WICHITA, KS
Past
July 11, 2011 - May 31, 2012
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
WICHITA, KS
Past
October 1, 2007 - July 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
WICHITA, KS
Past
October 1, 2007 - July 6, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WICHITA, KS
Past
May 2, 2007 - August 27, 2007
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
WICHITA, KS
Past
February 12, 2007 - April 2, 2007
EDWARD JONES
RIA
CRD#: 250
WITCHITA, KS
Past
July 20, 2004 - April 2, 2007
EDWARD JONES
BD
CRD#: 250
WITCHITA, KS
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
Kansas(7/3/2012)
IAR
Kansas(12/4/2018)
Exams
State Security Law Exam
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
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#: 3487Wichita, KS 67235TRUST BUT VERIFY
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