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Rodolfo Herrera

STATE FARM INVESTMENT MANAGEMENT
Albuquerque, NM 87109
CRD#: 5713777
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RH
Rodolfo HerreraSTATE FARM INVESTMENT MANAGEMENT

Professional summary

Rodolfo Herrera, who also goes by Rodolfo I. Herrera Jr., Rudy I Herrera, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Albuquerque, New Mexico and STATE FARM VP MANAGEMENT CORP. located in Albuquerque, New Mexico.

Rodolfo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Rodolfo has worked at 4 firms and has passed the Series 65, Series 63, Series 66, Series 6TO, SIE and Series 7 exams.

Aliases

Rodolfo I. Herrera Jr. | Rudy I Herrera

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodolfo Herrera's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 26, 2022 - Present

STATE FARM INVESTMENT MANAGEMENT CORP.

Office #1: 7400 Montgomery Blvd Ne Ste 5, Albuquerque, NM 87109
RIA
CRD#: 3487
Albuquerque, NM
Current

April 22, 2022 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: 7400 Montgomery Blvd Ne Ste 5, Albuquerque, NM 87109
BD
CRD#: 43036
Albuquerque, NM
Past

November 10, 2009 - July 29, 2011

MARKETSPACE FINANCIAL

RIA
CRD#: 106790
ALBUQUERQUE, NM
Past

October 22, 2009 - December 16, 2010

MSF SECURITIES, INC.

BD
CRD#: 114004
PHOENIX, AZ

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 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
(5/16/2022)
IAR
Arizona
(8/4/2022)
RR
Colorado
(5/16/2022)
IAR
Colorado
(7/26/2022)
RR
New Mexico
(5/6/2022)
IAR
New Mexico
(7/27/2022)
RR
Texas
(5/16/2022)
IAR
Texas
(7/26/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/12/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/6/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/5/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/22/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/10/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

STATE FARM INVESTMENT MANAGEMENT CORP.
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)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

STATE FARM INVESTMENT MANAGEMENT CORP. WRAP FEE BROCHURE (3/25/2025)
STATE FARM INVESTMENT MANAGEMENT CORP. WRAP FEE PROGRAM BROCHURE (3/25/2025)

Direct owners and executive officers

NamePositionCRD#
STATE FARM MUTUAL AUTOMOBILE INSURANCE COMPANYOWNER
CHEVALIER, JEREL SAMASSISTANT SECRETARY-TREASURER2209892
GRIMES, DAVID ROYVICE PRESIDENT & SECRETARY1432710
GRIZZLE, DAVID RAYASSISTANT SECRETARY/TREASURER4084087
HORTON, STEPHEN LOWELLASSISTANT SECRETARY3124493
JAYNES, DONALD ONEILASSISTANT SECRETARY3124497
JOSLIN, ROGER SCOTTDIRECTOR, VICE PRESIDENT & TREASURER262350
KILLIAN, JOHN JOSEPHDIRECTOR2614915
MOORE, DAVID MICHAELASSISTANT SECRETARY2876793
MOSER, KURT GEORGEDIRECTOR & SENIOR VICE PRESIDENT2065254
RUST, EDWARD BARRY JRDIRECTOR AND PRESIDENT1450795
THOMAS, HOWARD ANDREWASSISTANT SECRETARY-TREASURER3150520
TIPSORD, MICHAEL LEONASSISTANT SECRETARY1943922
TROSINO, VINCENT JOSEPHDIRECTOR1780681

Regulatory assets under management

Total Number of Accounts38
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.

Company Information

STATE FARM INVESTMENT MANAGEMENT CORP.

STATE FARM INVESTMENT MANAGEMENT CORP.

CRD#: 3487Albuquerque, NM 87109

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