JC
Jason D. Caples
STATE FARM INVESTMENT MANAGEMENT
Broadview Heights, OH 44147
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CRD#: 5023970
JC
Professional summary
Jason Daniel Caples, who also goes by Jason D Caples Mr, Jason D Caples, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Broadview Heights, Ohio and STATE FARM VP MANAGEMENT CORP. located in Middlebrg Hts, Ohio.
Jason is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Jason has worked at 3 firms and has passed the SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jason D Caples Mr | Jason D Caples
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) C&N HOMETOWN PROPERTIES; NON-INVESTMENT RELATED; 9244 OXFORD TRAIL, BRECKSVILLE, OH 44141; OWN RENTAL PROPERTIES; 25% PARTNER; 10/2006; 5; 0; COLLECTING RENT. 2) Buckeye Four Properties LLC; non-investment related; 4342 Ridge Road, Brooklyn, OH 44144; Commercial Real Estate; owner; 7/8/19; 25%; Control of the checkbook, Review bank statements, make deposits in the checking account, Pay bills/Co-Signor on checking account; Landlord; 5;0. 3) Jason Caples's Insurance Agency; Insurance Agency; Investment-related; 7378 Engle Rd Middlebrg Hts OH 44130 and 874 East Royalton Rd Broadview Heights OH 44147; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 06/01/2014; 80; 80; Service customers and supervise employees 4) Additional Management; Investment related; 765 Walden Pond Circle Hinckley OH 44233; This business will be a management service business to employee family for office custodial work; Partner; None; 12/15/2022; 1; 0; control of the checkbook, make deposits in the checking account, review bank statements, pay bills/co-signor on checking account 5) Jason Caples; Investment related; 765 Walden Pond Circle Hinckley, OH 44233; Investment Property; Owner; President; 9/22/2023; 1; 0; Invest in real estate. 6) NuCap Properties LLC; Investment related; 765 Walden Pond Circle Hinckley, OH 44233; Investment or Commercial Property; Owner; 09/13/2023; 2; 2; LLC formed to invest in commercial property (hotel and 2nd office location). 7) 874 East Broadview Heights Ohio LLC; investment-related; 874 East Broadview Heights Road Broadview Heights, OH 44147; Investment or Commercial property; Owner; none; 4/18/2024; 4; 0; Duties: Privately held rental building
CRS (Client Relationship Summary) - RIA
Click below to view Jason Daniel Caples'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
October 14, 2022 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 874 East Royalton Rd, Broadview Heights, OH 44147Office #2: 7378 Engle Rd, Middlebrg Hts, OH 44130RIA
CRD#: 3487
Broadview Heights, OH
Current
August 28, 2006 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 7378 Engle Rd, Middlebrg Hts, OH 44130BD
CRD#: 43036
Middlebrg Hts, OH
Past
January 30, 2019 - September 5, 2019
STATE FARM INVESTMENT MANAGEMENT CORP.
RIA
CRD#: 3487
Middlebrg Hts, OH
Past
September 16, 2005 - July 5, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
MEDINA, 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
Ohio(8/29/2006)
IAR
Ohio(10/14/2022)
Exams
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.
