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Detailed Report
GUILLERMO WENCESLAO MORALES
GUILLERMO MORALES
CRD#: 4680789
IA
Investment Adviser
B
Broker
STATE FARM INVESTMENT MANAGEMENT CORP.CRD#: 3487 14763 W Cactus Rd
Ste 108
Surprise, AZ 85379-7267
STATE FARM VP MANAGEMENT CORP.CRD#: 43036 14763 W. Cactus Rd
Ste. 106
Surprise, AZ 85379
Registration History
200420062008201020122014201620182020202220242026IASTATE FARM INVESTMENT MANAGEME... (CRD# 3487)2020 - Present (4 years)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2011 - Present (13 years)BALLSTATE FINANCIAL SERVICES, LLC (CRD# 18272)2010 - 2010 (<1 year)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2006 - 2009 (3 years)BMETLIFE SECURITIES INC. (CRD# 14251)2008 - 2008 (<1 year)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2004 - 2005 (<1 year)
License(s)

State Registrations

B
Arizona 4/12/2011
IA
Arizona 11/23/2020

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)
14763 W Cactus Rd Ste 108, Surprise, AZ 85379-7267
20250 N 59th Ave Ste.103, Glendale, AZ 85308
Registered with this firm since 11/23/2020
B
STATE FARM VP MANAGEMENT CORP. (CRD#:43036)
14763 W. Cactus Rd Ste. 106, Surprise, AZ 85379
20250 N 59th Ave Ste. 103, Glendale, AZ 85308
Registered with this firm since 4/12/2011
Previous Registration(s)
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B
 02/01/2010 - 12/31/2010 ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272) MIAMI, FL
B
 05/30/2006 - 09/10/2009 STATE FARM VP MANAGEMENT CORP. (CRD#:43036) AUSTIN, TX
B
 01/11/2008 - 02/08/2008 METLIFE SECURITIES INC. (CRD#:14251) PLANTATION, FL
B
 06/22/2004 - 05/25/2005 STATE FARM VP MANAGEMENT CORP. (CRD#:43036) BLOOMINGTON, IL
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.