James T. Chen
Professional summary
James Thien Chen, CFA, who also goes by James Thomas Chen, James Chen, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Arcadia, California and STATE FARM VP MANAGEMENT CORP. located in Dunwoody, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 6 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Thien Chen's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 24, 2021 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 4143 E Live Oak Ave, Arcadia, CA 91006March 24, 2021 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 237 Perimeter Center Pkwy Ne, Dunwoody, GA 30346January 31, 2020 - March 24, 2021
STATE FARM INVESTMENT MANAGEMENT CORP.
March 13, 2019 - March 24, 2021
STATE FARM VP MANAGEMENT CORP.
February 18, 2015 - July 7, 2017
STATE FARM VP MANAGEMENT CORP.
August 9, 2012 - March 6, 2013
WELLS FARGO CLEARING SERVICES, LLC
August 9, 2012 - March 6, 2013
WELLS FARGO CLEARING SERVICES, LLC
October 11, 2011 - March 16, 2012
LPL FINANCIAL LLC
October 11, 2011 - March 16, 2012
LPL FINANCIAL LLC
September 13, 2011 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
September 9, 2011 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 2, 2008 - October 6, 2009
UBS FINANCIAL SERVICES INC.
June 9, 2008 - October 6, 2009
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487 / SEC#: 801-8184, 8-13379
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/24/2021)
(3/24/2021)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
STATE FARM INVESTMENT MANAGEMENT CORP.
CRD#: 3487 / SEC#: 801-8184, 8-13379
Contact information
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#: 3487Arcadia, CA 91006TRUST BUT VERIFY
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