HN
Hung K. Nguyen
STATE FARM INVESTMENT MANAGEMENT
Lincoln, NE 68504
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CRD#: 7410298
HN
Professional summary
Hung Kim Nguyen is a registered financial advisor currently at STATE FARM INVESTMENT MANAGEMENT CORP. located in Lincoln, Nebraska and STATE FARM VP MANAGEMENT CORP. located in Lincoln, Nebraska.
Hung is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Hung 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) Rocket Mortgage; Investment-related; 3255 Cornhusker Hwy Ste B2, Lincoln, NE 68504; Mortgage Loan Origination; Mortgage Loan Originator/Broker; 5/11/2021; 20; 20; The registered representative will originate mortgage loans as part of this activity. As a result of this role, the RR may also be considered a branch manager, which may include performing certain administrative duties and receiving compensation on other agents' mortgage business. The registered representative may lease or sublease a portion of the registered representative's office space to the company. 2) Hung Nguyen's Insurance Agency; Insurance Agency; Investment-related; 3255 Cornhusker Hwy Ste B2 Lincoln, NE 68504-1968; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 3/1/2021; 80; 80; Service customers and supervise employees. 3) Hung Nguyen - Property #1 (Personally Held Real Estate); investment-related; 5454 Hollow Oak Ln Pace FL 32571; Rental property owned and rented out in Pace, FL.; Owner; 01/24/2007; Southern Homes Realty and Property Management is the property manager that manages the property and keeps it rented/maintained.; 1;1;
CRS (Client Relationship Summary) - RIA
Click below to view Hung Kim Nguyen'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
April 13, 2023 - Present
STATE FARM INVESTMENT MANAGEMENT CORP.
Office #1: 3255 Cornhusker Hwy Ste B2, Lincoln, NE 68504RIA
CRD#: 3487
Lincoln, NE
Current
August 24, 2021 - Present
STATE FARM VP MANAGEMENT CORP.
Office #1: 3255 Cornhusker Hwy Ste B2 , Lincoln, NE 68504BD
CRD#: 43036
Lincoln, NE
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
Colorado(1/4/2022)
IAR
Colorado(4/13/2023)
RR
Iowa(9/28/2021)
IAR
Iowa(4/13/2023)
RR
Kansas(9/28/2021)
IAR
Kansas(4/13/2023)
RR
Missouri(9/28/2021)
IAR
Missouri(4/13/2023)
RR
Nebraska(9/21/2021)
IAR
Nebraska(4/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/24/2021
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
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.
