DC
David A. Carbaugh
STATE FARM INVESTMENT MANAGEMENT
Red Oak, IA 51566
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CRD#: 5111114
DC
Professional summary
David Alan Carbaugh is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Red Oak, Iowa and STATE FARM VP MANAGEMENT CORP. located in Red Oak, Iowa.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Montgomery County Soil & Water; Non-Investment Related; 2505 North Broadway, Suite 2, Red Oak, IA 51566; Association/Committee/Council; Water & Soil Conservation; Commissioner; 1/3/2017; 1; 0; Vote on investing in CD's or Money Market Accounts. 2) David Carbaugh's Insurance Agency; Insurance Agency; Investment-related; 111 Reed St, Red Oak, IA 51566; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 12/01/2017; 80; 80; Service customers and supervise employees 3) David Carbaugh - Property #1 (Personally Held Real Estate); investment; 2575 D Ave Red Oak, IA 51566; Investment or Commercial Property; Owner; none; 5/1/2017; 1; 0; Duties: Privately held rental building
CRS (Client Relationship Summary) - RIA
Click below to view David Alan Carbaugh'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
May 26, 2023 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 111 Reed St, Red Oak, IA 51566RIA
CRD#: 3487
Red Oak, IA
Current
November 12, 2018 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 111 Reed St, Red Oak, IA 51566BD
CRD#: 43036
Red Oak, IA
Past
October 12, 2016 - December 20, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
OMAHA, NE
Past
April 18, 2006 - December 11, 2015
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
OMAHA, NE
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
Iowa(11/12/2018)
IAR
Iowa(5/26/2023)
RR
Nebraska(11/12/2018)
IAR
Nebraska(5/26/2023)
RR
South Dakota(8/19/2022)
IAR
South Dakota(5/30/2023)
Exams
State Security Law Exam
State Security Law 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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Company Information
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487Red Oak, IA 51566TRUST BUT VERIFY
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