Manuel A. Lopez

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CRD#: 7179335

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Manuel Arturo Lopez, who also goes by Manuel Arturo Lopez, Manuel A Lopez, Manuel Lopez, was a registered financial professional .

Manuel is a previously registered financial professional and started their career in finance in 2020. Manuel had worked at 6 firms and has passed the Series 66, Series 6TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Manuel Arturo Lopez | Manuel A Lopez | Manuel Lopez

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) Jessica Alcarez's Insurance Agency; Investment-related; 10161 W Commercial Blvd Sunrise, FL 33351; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Agent employee; Agent Team Member; 03/28/2024; 80; 80; Service customers

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 12, 2024 - September 25, 2024

STATE FARM INVESTMENT MANAGEMENT CORP.

RIA

CRD#: 3487

Sunrise, FL

Past

May 28, 2024 - September 25, 2024

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

March 22, 2022 - January 18, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

FORT LAUDERDALE, FL

Past

January 12, 2022 - January 17, 2023

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

JACKSONVILLE, FL

Past

February 8, 2021 - August 18, 2021

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

Boca Raton, FL

Past

February 27, 2020 - February 17, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

FT. LAUDERDALE, FL

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/3/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 5/28/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 2/27/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/13/2019

Securities Industry Essentials Examination

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

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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)

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.

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Manuel A. Lopez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STATE FARM VP MANAGEMENT CORP.

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

MUTUAL OF AMERICA SECURITIES LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

STATE FARM INVESTMENT MANAGEMENT CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/3/2022

Series 6TO

Date: 5/28/2024

Series 7TO

Date: 2/27/2020

SIE

Date: 9/13/2019

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

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