Ryan P. Esse

STATE FARM INVESTMENT MANAGEMENT

Redwood Falls, MN

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CRD#: 6289819

Professional summary

Ryan Patrick Esse is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Redwood Falls, Minnesota and STATE FARM VP MANAGEMENT CORP. located in Coon Rapids, Minnesota.

Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Ryan has worked at 7 firms and has passed the Series 66, Series 6TO, SIE and Series 7 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) Ryan Esse's Insurance Agency; Insurance Agency; Investment-related; 105 E Bridge St Redwood Falls, MN 56283-2607; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 10/1/2021; 80; 80; Service customers and supervise employees

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Patrick Esse'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

March 29, 2022 - Present

STATE FARM INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 3487

Redwood Falls, MN

Current

February 22, 2022 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: 3200 Main Street Suite 235, Coon Rapids, MN 55448

CRD#: 43036

Coon Rapids, MN

Past

January 22, 2019 - May 5, 2021

EDWARD JONES

RIA

CRD#: 250

ST JOSEPH, MN

Past

January 18, 2019 - May 5, 2021

EDWARD JONES

CRD#: 250

ST JOSEPH, MN

Past

April 17, 2017 - January 11, 2019

NYLIFE SECURITIES LLC

CRD#: 5167

WILLMAR, MN

Past

September 30, 2016 - February 9, 2017

GWN SECURITIES INC.

RIA

CRD#: 128929

NEW LONDON, MN

Past

September 29, 2016 - February 9, 2017

GWN SECURITIES INC.

CRD#: 128929

NEW LONDON, MN

Past

July 30, 2016 - September 27, 2016

LEGEND ADVISORY, LLC

RIA

CRD#: 104761

NEW LONDON, MN

Past

May 16, 2016 - September 27, 2016

LEGEND EQUITIES CORPORATION

CRD#: 30999

NEW LONDON, MN

Past

October 29, 2014 - December 19, 2014

LEGEND EQUITIES CORPORATION

CRD#: 30999

NEW LONDON, MN

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)

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.

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

Iowa
(8/10/2023)

IAR

Iowa
(8/10/2023)

Minnesota
(2/23/2022)

IAR

Minnesota
(3/29/2022)

South Dakota
(4/20/2023)

IAR

South Dakota
(4/20/2023)

IAR

Wisconsin
(12/2/2024)

Wisconsin
(12/5/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/25/2016

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/28/2014

General Securities Representative Examination

SRO Registrations

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)

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

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.

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Ryan P. Esse

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Patrick Esse's CRS (Customer Relationship Summary).

Certified licenses

Experience

STATE FARM VP MANAGEMENT CORP.

EDWARD JONES

EDWARD JONES

NYLIFE SECURITIES LLC

GWN SECURITIES INC.

GWN SECURITIES INC.

LEGEND ADVISORY, LLC

LEGEND EQUITIES CORPORATION

LEGEND EQUITIES CORPORATION

Primary Firm SEC Registration

STATE FARM INVESTMENT MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/25/2016

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/28/2014

FINRA

Current Firm

STATE FARM INVESTMENT MANAGEMENT CORP.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

STATE FARM INVESTMENT MANAGEMENT CORP.

TRUST BUT VERIFY

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