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Detailed Report
LEOPOLDO ROCA
PAUL ROCA
CRD#: 3002962
IA
Investment Adviser
B
Broker
STATE FARM INVESTMENT MANAGEMENT CORP.CRD#: 3487 4163 South Congress Avenue
Palm Springs, FL 33461-4702
STATE FARM VP MANAGEMENT CORP.CRD#: 43036 4163 S Congress Ave
Palm Springs, FL 33461-4703
Registration History
199820002002200420062008201020122014201620182020202220242026IASTATE FARM INVESTMENT MANAGEME... (CRD# 3487)2018 - Present (6 years)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)1998 - Present (27 years)IASTATE FARM INVESTMENT MANAGEME... (CRD# 3487)2004 - 2008 (4 years)
Disclosure(s)
View By:
3/20/2008
Regulatory
Final
License(s)

State Registrations

B
Florida 12/19/2000
IA
Florida 10/31/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STATE FARM INVESTMENT MANAGEMENT CORP. (CRD#:3487)
4163 South Congress Avenue, Palm Springs, FL 33461-4702
Registered with this firm since 10/31/2018
B
STATE FARM VP MANAGEMENT CORP. (CRD#:43036)
4163 S Congress Ave, Palm Springs, FL 33461-4703
Registered with this firm since 3/16/1998
Previous Registration(s)
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IA
 03/10/2004 - 12/31/2008 STATE FARM INVESTMENT MANAGEMENT CORP. (CRD#:3487) LAKE WORTH, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.