Claudia A. Mckay
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.
Claudia Ann Mckay, who also goes by Claudia A Mckay, Claudia Ann Mckay Mrs., Claudia Ann Szymanski, Claudia Szymanski, was a registered financial professional .
Claudia is a previously registered financial professional and started their career in finance in 1979. Claudia had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2016 - January 26, 2017
STATE FARM VP MANAGEMENT CORP.
August 21, 2007 - October 4, 2007
STATE FARM INVESTMENT MANAGEMENT CORP.
August 7, 2006 - September 11, 2015
STATE FARM VP MANAGEMENT CORP.
April 12, 2006 - June 1, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 19, 2004 - June 1, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 27, 2003 - May 21, 2004
ALLSTATE FINANCIAL SERVICES, LLC
April 3, 2003 - August 29, 2003
VP DISTRIBUTORS LLC
November 29, 1993 - April 11, 2003
WS GRIFFITH SECURITIES, INC.
June 17, 1993 - November 29, 1993
VP DISTRIBUTORS LLC
May 16, 1990 - June 8, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 10, 1982 - April 20, 1990
NEW ENGLAND SECURITIES
February 20, 1981 - October 3, 1981
L. F. ROTHSCHILD & CO. INCORPORATED
January 22, 1981 - February 23, 1981
MORGAN STANLEY DW INC.
June 21, 1979 - April 7, 1980
GLEACHER & COMPANY SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STATE FARM VP MANAGEMENT CORP.
CRD#: 43036 / SEC#: , 8-50128
Contact information
FINRA licenses (51 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 |
| 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 |
| WILLARD, DANIEL NELSON | ASSISTANT SECRETARY AND COUNSEL | 5207081 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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