Scot Semple
Professional Summary
Scot Semple, who also goes by Scot Payton Semple, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Bryan, Texas and STATE FARM VP MANAGEMENT CORP. located in Bloomington, Illinois. Scot is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Scot has worked at 2 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Scot Payton Semple
Similar Advisors
TRUSTMONT ADVISORY GROUP, INC.
J.W. COLE FINANCIAL, INC.
FINALIS SECURITIES LLC
OPPENHEIMER & CO. INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
TRUSTMONT ADVISORY GROUP, INC.
J.W. COLE FINANCIAL, INC.
FINALIS SECURITIES LLC
OPPENHEIMER & CO. INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
TRUSTMONT ADVISORY GROUP, INC.
J.W. COLE FINANCIAL, INC.
FINALIS SECURITIES LLC
OPPENHEIMER & CO. INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
TRUSTMONT ADVISORY GROUP, INC.
J.W. COLE FINANCIAL, INC.
FINALIS SECURITIES LLC
OPPENHEIMER & CO. INC.
Years of Experience
11 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
TRUSTMONT ADVISORY GROUP, INC.
J.W. COLE FINANCIAL, INC.
FINALIS SECURITIES LLC
OPPENHEIMER & CO. INC.
Current Firm
STATE FARM INVESTMENT MANAGEMENT | STATE FARM INVESTMENT MANAGEMENT CORP.
Contact Information
Main Address
One State Farm Plaza B-2, Bloomington, IL 61710-0001Phone Number
(800) 447-0740Established
Delaware since 12/09/1966Firm Type
CorporationFiscal Year End
November# of Employees
7,930SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
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
2,160AUM (Assets Under Management)
$12,938,660,000Similar Advisors
TRUSTMONT ADVISORY GROUP, INC.
J.W. COLE FINANCIAL, INC.
FINALIS SECURITIES LLC
OPPENHEIMER & CO. INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
TRUSTMONT ADVISORY GROUP, INC.
J.W. COLE FINANCIAL, INC.
FINALIS SECURITIES LLC
OPPENHEIMER & CO. INC.
Primary Firm SEC Registration
STATE FARM INVESTMENT MANAGEMENT | STATE FARM INVESTMENT MANAGEMENT CORP.
State Registrations and Notice Filings
(10/31/2024)
(12/20/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2024About the Series 6TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2015About the Series 6 examSRO Registrations
Similar Advisors
TRUSTMONT ADVISORY GROUP, INC.
J.W. COLE FINANCIAL, INC.
FINALIS SECURITIES LLC
OPPENHEIMER & CO. INC.
CRS (Client Relationship Summary) - RIA
Click below to view Scot Semple's CRS (Customer Relationship Summary).
Similar Advisors
TRUSTMONT ADVISORY GROUP, INC.
J.W. COLE FINANCIAL, INC.
FINALIS SECURITIES LLC
OPPENHEIMER & CO. INC.