Carter O. Shipp

STATE FARM INVESTMENT MANAGEMENT

West Monroe, LA

Some features on this profile are disabled

CRD#: 6831206

Professional summary

Carter Oneil Shipp, who also goes by Carter O'neal Shipp, Carter O Neil Shipp, Carter O'neil Shipp, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in West Monroe, Louisiana and STATE FARM VP MANAGEMENT CORP. located in Baton Rouge, Louisiana.

Carter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Carter has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carter O'neal Shipp | Carter O Neil Shipp | Carter O'neil Shipp

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) Neil Shipp Insurance Agency; Investment-related; 2886 Southland Park Dr Ste C Shreveport, LA 71118-3235; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 1/1/2025; 80; 80; Service customers and supervise employees

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter Oneil Shipp'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

September 3, 2024 - Present

STATE FARM INVESTMENT MANAGEMENT CORP.

Office #2: 2886 Southland Park Dr Ste C, Shreveport, LA 71118

RIA

CRD#: 3487

West Monroe, LA

Current

November 20, 2023 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: 412 N. 4th Street Ste #103, Baton Rouge, LA 70802

CRD#: 43036

Baton Rouge, LA

Past

August 18, 2022 - January 30, 2023

NYLIFE SECURITIES LLC

CRD#: 5167

MONROE, LA

Past

August 31, 2017 - May 4, 2022

NYLIFE SECURITIES LLC

CRD#: 5167

MONROE, LA

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

Louisiana
(11/21/2023)

IAR

Louisiana
(9/3/2024)

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 65

Date: 1/28/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/10/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/31/2017

Investment Company Products/Variable Contracts 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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carter O. Shipp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter Oneil Shipp's CRS (Customer Relationship Summary).

Certified licenses

Experience

STATE FARM VP MANAGEMENT CORP.

NYLIFE SECURITIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

STATE FARM INVESTMENT MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/28/2023

Series 63

Date: 5/10/2018

SIE

Date: 10/1/2018

Series 6

Date: 8/31/2017

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

Similar Advisors