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Detailed Report
KRISTI LYNN HARWOOD-CAUSLEY
KRIS HARWOOD, KRISTI HARWOOD, KRIS LITTLE, KRISTI LITTLE
CRD#: 6118655
IA
Investment Adviser
B
Broker
STATE FARM INVESTMENT MANAGEMENT CORP.CRD#: 3487 2637 Ashmun St Ste 1
Sault S Marie, MI 49783
STATE FARM VP MANAGEMENT CORP.CRD#: 43036 2637 Ashmun St
Sault Ste Marie, MI 49783
Registration History
20122014201620182020202220242026IASTATE FARM INVESTMENT MANAGEME... (CRD# 3487)2020 - Present (5 years)BSTATE FARM VP MANAGEMENT CORP. (CRD# 43036)2012 - Present (12 years)
License(s)

State Registrations

B
Michigan 10/22/2012
IA
Michigan 1/22/2020

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)
2637 Ashmun St Ste 1, Sault S Marie, MI 49783
Soult Ste Marie, MI
Registered with this firm since 1/22/2020
B
STATE FARM VP MANAGEMENT CORP. (CRD#:43036)
2637 Ashmun St, Sault Ste Marie, MI 49783
Soult Ste Marie, MI
Registered with this firm since 10/17/2012
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.