John C. Bates

STATE FARM VP MANAGEMENT

BLOOMINGTON, IL 61710-0001

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CRD#: 5860156

Professional summary

John Charles Allan Bates, who also goes by John Charles Bates, John Charles Allan Bates, is a registered financial professional currently at STATE FARM VP MANAGEMENT CORP. located in Bloomington, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 2015. John has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Charles Bates | John Charles Allan Bates

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) - BD

Click below to view John Charles Allan Bates'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

April 12, 2024 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: One State Farm Plaza, Bloomington, IL 61710-0001

CRD#: 43036

BLOOMINGTON, IL

Past

December 17, 2018 - September 15, 2023

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

BLOOMINGTON, IL

Past

September 15, 2015 - December 14, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

NORMAL, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Illinois
(4/12/2024)

Exams

State Security Law Exam

Series 63

Date: 10/21/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/13/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/15/2015

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 8/16/2019

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/1/2019

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036 / SEC#: , 8-50128

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One State Farm Plaza, Bloomington, IL 61710-0001

Mailing Address

One State Farm Plaza, Bloomington, IL 61710-0001

Phone number

(833) 430-8518

Established

Delaware since 11/27/1996

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STATE FARM INVESTMENT MANAGEMENT	SHAREHOLDER	3487
COOK, KRISTYN	EXECUTIVE VICE PRESIDENT AND DIRECTOR	4215717
FARNEY, JON CHARLES	PRESIDENT AND DIRECTOR	2839964
GHANBARPOUR, ARASH	VICE PRESIDENT AND DIRECTOR	5129325
HINTZ, SCOTT ALEXANDER	VICE PRESIDENT - FINANCIAL AND SECRETARY	2004555
LUDWIG, TERRENCE MICHAEL	CHIEF COMPLIANCE OFFICER AND TREASURER	3231040
MINEAU, SARAH	SENIOR VICE PRESIDENT AND DIRECTOR	4634160
MONTGOMERY, BRADLEY DOYLE	SENIOR VICE PRESIDENT AND DIRECTOR	2913835
PRESTON, BRIAN LYNN	ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER	4312143
WILLARD, DANIEL NELSON	ASSISTANT SECRETARY AND COUNSEL	5207081

Disclosures

Regulatory Event

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.

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John C. Bates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Charles Allan Bates's CRS (Customer Relationship Summary).

Certified licenses

Experience

COUNTRY CAPITAL MANAGEMENT COMPANY

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/21/2015

SIE

Date: 10/1/2018

Series 7

Date: 4/13/2016

Series 6

Date: 9/15/2015

Series 51

Date: 8/16/2019

Series 26

Date: 3/1/2019

FINRA

Current Firm

STATE FARM VP MANAGEMENT CORP.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STATE FARM VP MANAGEMENT CORP.

TRUST BUT VERIFY

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