KS
Kenneth D. Smith
STATE FARM INVESTMENT MANAGEMENT
Cincinnati, OH 45240-1765
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CRD#: 4823025
KS
Professional summary
Kenneth D. Smith, ChFC®, CLU®, who also goes by Kenneth D Smith, Kent Smith, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Cincinnati, Ohio and STATE FARM VP MANAGEMENT CORP. located in Cincinnati, Ohio.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kenneth has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kenneth D Smith | Kent Smith
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.
high school wrestling official; non-investment related; 11959 Gaylord Dr, Cincinnati, OH 45240; I officiate wrestling for various high schools (as contracted by event and not as an employee) during the winter months; Independent Contractor; 7/1/1987; show up and officiate; 20 hrs/mo; 0 hrs/mo. (2) BNI; non-investment related; Zoom, cincinnati, OH 45240; association/committee/council; director; 10/1/2020; 4; 0; meeting minutes, record keeping. (3) Bethany School; non-investment; 555 Albion Ave, Glendale, OH 45246; education; trustee; 7/1/2021; 2; 0; help with recruitment of potential students for school. School is going through an accreditation process for education. 4.) Kent Smith Insurance Agency; Investment-related; 1251 Kemper Meadow Dr Ste 600 Cincinnati, OH 45240-1765 Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 05/01/2017; 80; 80; Service customers and supervise employees
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth D. Smith'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®
Experience
Current
July 31, 2018 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 1251 Kemper Meadow Drive Suite 600, Cincinnati, OH 45240-1765RIA
CRD#: 3487
Cincinnati, OH
Current
July 27, 2018 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 1251 Kemper Meadow Dr Ste 600, Cincinnati, OH 45240BD
CRD#: 43036
Cincinnati, OH
Past
August 15, 2012 - December 1, 2016
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
COLUMBUS, OH
Past
August 14, 2012 - December 1, 2016
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
COLUMBUS, OH
Past
January 10, 2011 - June 16, 2011
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
WEST CHESTER, OH
Past
January 7, 2011 - June 16, 2011
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
WEST CHESTER, OH
Past
April 16, 2010 - January 3, 2011
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
CINCINNATI, OH
Past
November 13, 2009 - January 3, 2011
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
CINCINNATI, OH
Past
August 6, 2008 - November 13, 2009
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CINCINNATI, OH
Past
September 24, 2004 - August 1, 2008
NYLIFE SECURITIES LLC
BD
CRD#: 5167
HAMILTON, OH
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
Indiana(2/17/2020)
IAR
Indiana(10/16/2024)
RR
Kentucky(2/17/2020)
IAR
Kentucky(10/16/2024)
RR
Ohio(7/30/2018)
IAR
Ohio(7/31/2018)
Exams
State Security Law Exam
State Security Law Exam
General 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487Cincinnati, OH 45240-1765TRUST BUT VERIFY
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