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NP

Nicolas C. Prausa

STATE FARM VP MANAGEMENT
BLOOMINGTON, IL 61710-0001
Some features on this profile are disabled
CRD#: 7012655
NP
Nicolas Carl PrausaSTATE FARM VP MANAGEMENT

Professional summary

Nicolas Carl Prausa, who also goes by Nicolas C Prausa, Nic Pummill, is a registered financial professional currently at STATE FARM VP MANAGEMENT CORP. located in Bloomington, Illinois.

Nicolas is registered as a RR (Registered Representative) and started their career in finance in 2023. Nicolas has worked at 3 firms and has passed the Series 63, Series 6TO and SIE exams.

Aliases

Nicolas C Prausa | Nic Pummill

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 Nicolas Carl Prausa'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

July 14, 2026 - Present

STATE FARM VP MANAGEMENT CORP.

Office #1: One State Farm Plaza, Bloomington, IL 61710-0001
BD
CRD#: 43036
BLOOMINGTON, IL
Past

September 27, 2024 - July 7, 2026

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
WAUKESHA, WI
Past

June 21, 2024 - September 4, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
ANTIGO, WI
Past

January 5, 2023 - June 5, 2024

STATE FARM VP MANAGEMENT CORP.

BD
CRD#: 43036
Delafield, WI

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
Michigan
(7/14/2026)
RR
Wisconsin
(7/14/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 10/21/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/5/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/30/2019
Securities Industry Essentials 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)

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
WIEDUWILT, ANDREW PATRICKVICE PRESIDENT8074278
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#: 43036Bloomington, IL 61710-0001

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