Brady Serafin
Professional Summary
Brady Serafin is a registered financial advisor currently at STATE FARM VP MANAGEMENT CORP. located in Bloomington, Illinois. Brady is registered as a RR (Registered Representative) and started their career in finance in 2026. Brady has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SOUND INCOME STRATEGIES, LLC
CLEARMIND CAPITAL
MARINER
WARREN FINANCIAL, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SOUND INCOME STRATEGIES, LLC
CLEARMIND CAPITAL
MARINER
WARREN FINANCIAL, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SOUND INCOME STRATEGIES, LLC
CLEARMIND CAPITAL
MARINER
WARREN FINANCIAL, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SOUND INCOME STRATEGIES, LLC
CLEARMIND CAPITAL
MARINER
WARREN FINANCIAL, LLC
Years of Experience
1 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
SOUND INCOME STRATEGIES, LLC
CLEARMIND CAPITAL
MARINER
WARREN FINANCIAL, LLC
Current Firm
STATE FARM VP MANAGEMENT CORP.
Contact Information
Main Address
One State Farm Plaza, Bloomington, IL 61710-0001Mailing Address
One State Farm Plaza, Bloomington, IL 61710-0001Phone Number
(833) 430-8518Established
Delaware since 11/27/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STATE FARM INVESTMENT MANAGEMENT | SHAREHOLDER | 3487 |
| COOK, KRISTYN | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 4215717 |
| FARNEY, JON CHARLES | PRESIDENT AND DIRECTOR | 2839964 |
| GHANBARPOUR, ARASH | VICE PRESIDENT AND DIRECTOR | 5129325 |
| HINTZ, SCOTT ALEXANDER | VICE PRESIDENT - FINANCIAL AND SECRETARY | 2004555 |
| KRISCHEL, AMY LYNN | ASSISTANT VICE PRESIDENT | 4810392 |
| LUDWIG, TERRENCE MICHAEL | CHIEF COMPLIANCE OFFICER AND TREASURER | 3231040 |
| MINEAU, SARAH | SENIOR VICE PRESIDENT AND DIRECTOR | 4634160 |
| MONTGOMERY, BRADLEY DOYLE | SENIOR VICE PRESIDENT AND DIRECTOR | 2913835 |
| PRESTON, BRIAN LYNN | ANTI-MONEY LAUNDERING AND OFFICE OF FOREIGN ASSETS CONTROL COMPLIANCE OFFICER | 4312143 |
| WIEDUWILT, ANDREW PATRICK | VICE PRESIDENT | 8074278 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
Regulatory Event
7Similar Advisors
SOUND INCOME STRATEGIES, LLC
CLEARMIND CAPITAL
MARINER
WARREN FINANCIAL, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SOUND INCOME STRATEGIES, LLC
CLEARMIND CAPITAL
MARINER
WARREN FINANCIAL, LLC
State Registrations and Notice Filings
(8/17/2026)
(8/17/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2026About the Series 6TO examSRO Registrations
Similar Advisors
SOUND INCOME STRATEGIES, LLC
CLEARMIND CAPITAL
MARINER
WARREN FINANCIAL, LLC
CRS (Client Relationship Summary) - BD
Click below to view Brady Serafin's CRS (Customer Relationship Summary).
Similar Advisors
SOUND INCOME STRATEGIES, LLC
CLEARMIND CAPITAL
MARINER
WARREN FINANCIAL, LLC