Katie Kithing Lau

Employer firm

State Farm Investment Management Corp. CRD 3487

$12.9B regulatory AUM

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (investment companies)

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2009 → 02/2022
  Hsbc Securities (Usa) Inc.
  Walnut, CA
• 10/2024 → 11/2024
  State Farm Insurance
  Ontario, CA
• 10/2024 → 11/2024
  State Farm Vp Management Corp.
  Ontario, CA
• 09/2022 → 09/2024
  Isaias Guzman Insurance Agency
  Montclair, CA
• 02/2022 → 09/2022
  Unemployed
  Ontario, CA
• 10/2024 → 11/2024
  State Farm Investment Management Corp
  Ontario, CA
• 11/2024 → 03/2025
  State Farm Insurance
  Tempe, AZ
• 11/2024 → 03/2025
  State Farm Investment Management Corp
  Tempe, AZ
• 11/2024 → 03/2025
  State Farm Vp Management Corp.
  Tempe, AZ
• 03/2025 → Present
  Katie Lau's Insurance Agency
  Mesa, AZ
• 03/2025 → Present
  State Farm Investment Management Corp
  Mesa, AZ
• 03/2025 → Present
  State Farm Vp Management Corp
  Mesa, AZ

Other Businesses

1) Katie Lau's Insurance Agency; Investment-related; 1245 W Guadalupe Rd Ste B4 Mesa, AZ 85202; Other; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent; 3/1/2025; 80; 80; Service customers and supervise employees

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-05-29
• S63 Uniform Securities Agent State Law Examination
  2009-03-24

Other Names

• Katie Kithing Lau
• Katie Kit Hing Lau