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Byron N. Galindo
STATE FARM INVESTMENT MANAGEMENT
Redondo Beach, CA 90277
Some features on this profile are disabled
CRD#: 7051561
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Professional summary
Byron Nelson Galindo is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Redondo Beach, California and STATE FARM VP MANAGEMENT CORP. located in Dunwoody, Georgia.
Byron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Byron has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) Mynt Collective, LLC; Non-Investment-Related; 214 Pier Ave., Santa Monica, CA 90405; Service Industry; Owner/President; 5/20/2021; 22; 0; Business coaching. 2) Byron Galindo's Insurance Agency; Insurance Agency; Investment-related; 116 S Catalina Ave Ste 116 Redondo Beach, CA 90277; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 6/1/2017; 80; 80; Service customers and supervise employees 3) Cindy Escrow Inc; non-investment related; 9434 Firestone Blvd A Downey CA 90241; other, escrow company; officer; secretary; 11/01/2022; 1; 0; Annually my mother and I will meet to go over her business plans for the following year. We record this meeting in her corporate minutes. This is the only duty/function I have in this business. The remainder of the year I have no responsibility or duties of any kind. This business is owned by my mother Cindy Galindo. When a real estate transaction takes place, this business provides an escrow service to facilitate the transaction. 4) Byron Galindo - Property #1 (Personally Held Real Estate); Investment Related; 214 Pier Ave Santa Monica, CA 90405; Investment or Commercial Property; Owner; 01/18/2017; 3; 1; I own an investment rental property.
CRS (Client Relationship Summary) - RIA
Click below to view Byron Nelson Galindo's 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®
NoneExperience
Current
March 15, 2023 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 116 S Catalina Ave Ste 116, Redondo Beach, CA 90277RIA
CRD#: 3487
Redondo Beach, CA
Current
March 11, 2019 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 237 Perimeter Center Pkwy Ne, Dunwoody, GA 30346BD
CRD#: 43036
Dunwoody, GA
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)BD
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.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
California(4/15/2019)
IAR
California(3/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/11/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
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)BD
Terminated by SEC on 06/30/2001
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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)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
