LH
Lydia M. Harville
STATE FARM INVESTMENT MANAGEMENT
Santa Cruz, CA 95062
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CRD#: 5511378
LH
Professional summary
Lydia Marie Harville, who also goes by Lydia Marie Sellery, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Santa Cruz, California and STATE FARM VP MANAGEMENT CORP. located in Santa Cruz, California.
Lydia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Lydia has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lydia Marie Sellery
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) Loma Public Education Fund; non-investment-related; 23800 Summit Rd Los Gatos CA 95033; membership/civic/fraternal organization; Officer; Director (including sitting on Board of Director); Secretary; 07/01/2023; 4; 1; I attend board meetings once per month, and volunteer my time to write a short update in the school's weekly newsletter, as well as writing an update about the school in a local free newsletter called the Mountain Network News. Loma Public Education Fund (LPEF) is a volunteer-driven nonprofit (501(c)(3)) organization that raises funds for Loma Prieta Elementary School and C.T. English Middle School. LPEF grants funds to the district for specific programs that directly support student learning such as P.E., music/band, art, other electives and library, counseling and math intervention services. 2) BNI; non-investment-related; 2286 35th Ave San Francisco CA 94116; BNI (business networking international) is a networking group for business owners with multiple chapters throughout the bay area; Other; President; 10/01/2023; 6; 4; I am being asked to volunteer as president of our local chapter, helping run our weekly meetings 3) Lydia Harville Insurance Agency's Insurance Agency; Investment-related; 1044 41st Ave Santa Cruz, CA 95062; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 11/01/2021; 80; 80; Service customers and supervise employees
CRS (Client Relationship Summary) - RIA
Click below to view Lydia Marie Harville'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
January 8, 2023 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 1044 41st Ave, Santa Cruz, CA 95062RIA
CRD#: 3487
Santa Cruz, CA
Current
April 5, 2022 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 1044 41st Ave, Santa Cruz, CA 95062BD
CRD#: 43036
Santa Cruz, CA
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
Arizona(12/19/2024)
IAR
Arizona(1/3/2025)
RR
California(9/1/2022)
IAR
California(1/8/2023)
RR
Nevada(12/19/2024)
IAR
Nevada(12/19/2024)
RR
Oregon(12/23/2024)
IAR
Oregon(1/3/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 4/5/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
