Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
DANIEL GARRET RAY
DAN RAY
CRD#: 6011729
IA
Investment Adviser
B
Broker
STATE FARM INVESTMENT MANAGEMENT CORP.CRD#: 3487 5230 W IRVING PARK ROAD
CHICAGO, IL 60641
STATE FARM VP MANAGEMENT CORP.CRD#: 43036 5230 W. IRVING PARK ROAD
CHICAGO, IL 60641
Registration History
20122014201620182020202220242026IASTATE FARM INVESTMENT MANAGEME... (CRD# 3487)2023 - Present (2 years)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2012 - Present (13 years)
License(s)

State Registrations

B
California 1/8/2014
B
Indiana 1/23/2023
IA
California 3/17/2023
IA
Indiana 3/1/2024
B
Colorado 12/18/2013
B
Missouri 5/5/2020
IA
Colorado 3/17/2023
IA
Missouri 3/17/2023
B
Illinois 1/23/2012
B
Wisconsin 5/5/2020
IA
Illinois 3/17/2023
IA
Wisconsin 3/17/2023

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)
5230 W IRVING PARK ROAD, CHICAGO, IL 60641
Registered with this firm since 3/17/2023
B
STATE FARM VP MANAGEMENT CORP. (CRD#:43036)
5230 W. IRVING PARK ROAD, CHICAGO, IL 60641
Registered with this firm since 1/13/2012
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.