Liston T. Gainey
STATE FARM INVESTMENT MANAGEMENT | Financial Advisor
North Augusta, SC
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CRD#: 7096683
Professional summary
Liston Thomas Gainey, who also goes by Liston Thomas Gainey, is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in North Augusta, South Carolina and STATE FARM VP MANAGEMENT CORP. located in Sumter, South Carolina.
Liston is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Liston has worked at 4 firms and has passed the Series 66, Series 6TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Liston Thomas Gainey
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) Liston Gainey Insurance Agency; Investment-related; 143 Journey Run North Augusta, SC 29860; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 01/01/2024; 80; 80; Service customers and supervise employees
CRS (Client Relationship Summary) - RIA
Click below to view Liston Thomas Gainey'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
September 6, 2023 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #2: 132 Kerr St Suite 120, North Augusta, SC 29841RIA
CRD#: 3487
North Augusta, SC
Current
September 5, 2023 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 20 East Liberty Street Suite C, Sumter, SC 29150BD
CRD#: 43036
Sumter, SC
Past
August 8, 2022 - August 4, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GREENVILLE, SC
Past
August 8, 2022 - August 4, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GREENVILLE, SC
Past
July 8, 2019 - August 9, 2022
EDWARD JONES
RIA
CRD#: 250
GREENVILLE, SC
Past
June 10, 2019 - August 9, 2022
EDWARD JONES
BD
CRD#: 250
GREENVILLE, SC
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
Georgia(1/11/2024)
IAR
Georgia(1/11/2024)
RR
South Carolina(9/6/2023)
IAR
South Carolina(9/6/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 9/5/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 6/10/2019
General Securities 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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Company Information
STATE FARM INVESTMENT MANAGEMENT CORP.
Financial AdvisorCRD#: 3487North Augusta, SCTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
