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KR

Keith W. Roscoe

STATE FARM VP MANAGEMENT
Dunwoody, GA 30346
Some features on this profile are disabled
CRD#: 7011607
KR

Professional summary

Keith Warren Roscoe, who also goes by Keith Warren Roscoe, is a registered financial professional currently at STATE FARM VP MANAGEMENT CORP. located in Dunwoody, Georgia.

Keith is registered as a RR (Registered Representative) and started their career in finance in 2019. Keith has worked at 2 firms and has passed the Series 63, Series 6TO, SIE and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Keith Warren Roscoe

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 Keith Warren Roscoe'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

May 29, 2025 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: 237 Perimeter Center Pkwy Ne, Dunwoody, GA 30346
BD
CRD#: 43036
Dunwoody, GA
Past

January 24, 2019 - October 2, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
ALBANY, NY

State Registrations and Notice Filings

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

RR
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

RR
Arizona
(10/3/2025)
RR
California
(6/28/2025)
RR
Illinois
(6/28/2025)
RR
Nevada
(10/3/2025)
RR
Oregon
(10/3/2025)
RR
Texas
(10/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/27/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/29/2025
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/17/2025
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/12/2025
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SF
STATE FARM VP MANAGEMENT CORP.
STATE FARM VP MANAGEMENT CORP.

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STATE FARM INVESTMENT MANAGEMENTSHAREHOLDER3487
COOK, KRISTYNEXECUTIVE VICE PRESIDENT AND DIRECTOR4215717
FARNEY, JON CHARLESPRESIDENT AND DIRECTOR2839964
GHANBARPOUR, ARASHVICE PRESIDENT AND DIRECTOR5129325
HINTZ, SCOTT ALEXANDERVICE PRESIDENT - FINANCIAL AND SECRETARY2004555
LUDWIG, TERRENCE MICHAELCHIEF COMPLIANCE OFFICER AND TREASURER3231040
MINEAU, SARAHSENIOR VICE PRESIDENT AND DIRECTOR4634160
MONTGOMERY, BRADLEY DOYLESENIOR VICE PRESIDENT AND DIRECTOR2913835
PRESTON, BRIAN LYNNANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER4312143
WILLARD, DANIEL NELSONASSISTANT SECRETARY AND COUNSEL5207081

Disclosures

Regulatory Event7

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#: 43036Dunwoody, GA 30346

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