William J. Moffatt
Professional summary
William J Moffatt 3, who also goes by William J Moffatt III, William J Moffatt III, Will J Moffatt Iii, Will Moffatt, William J Moffatt, is a registered financial professional currently at STATE FARM VP MANAGEMENT CORP. located in Elkhart, Indiana.
William is registered as a RR (Registered Representative) and started their career in finance in 2016. William has worked at 2 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William J Moffatt 3's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2024 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 223 S. Main Street Suite 18, Elkhart, IN 46514February 22, 2016 - January 22, 2018
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/20/2024)
Exams
Series 6TO
Date: 5/31/2024
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 States and Territories)
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 | 7 |
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 VP MANAGEMENT CORP.
CRD#: 43036Elkhart, IN 46514TRUST BUT VERIFY
Monitor William Moffatt
Get automatic monthly alerts on:
