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Current Employers
State Farm Investment Management Corp.

One State Farm Plaza B-2, Bloomington, IL 61710-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2022-06-02
  • IL RA
    APPROVED
    Since 2022-06-02

Branch Locations

401 N Michigan Ave Suite 1640, Chicago, IL 60611 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Axa Advisors, Llc Oak Brook IL 06/2016 05/2017
Lpl Financial, Llc Chicago IL 06/2017 04/2018
Sequoia Wealth Management, Llc Chicago IL 06/2017 04/2018
Jmc Wealth Management, Inc. Chicago IL 06/2017 04/2018
Charles Schwab & Co., Inc. Oak Brook IL 04/2018 03/2019
Charles Schwab Bank Oak Brook IL 04/2018 03/2019
Tiffany & Co. Oak Brook IL 06/2017 03/2018
Fsr Wealth Management, Ltd. Elmhurst IL 03/2019 12/2019
Fidelity Investments Chicago IL 06/2020 09/2021
Unemployed Chicago IL 01/2020 06/2020
Tenyiah Simmons Insurance Agency Westchester IL 10/2021 04/2022
State Farm Insurance Chicago IL 05/2022 10/2022
State Farm Vp Management Corp Chicago IL 05/2022 Present
State Farm Investment Management Corp Chicago IL 05/2022 Present
Alexis Rivera Insurance Agency Chicago IL 10/2022 Present
  • 06/2016 → 05/2017
    Axa Advisors, Llc
    Oak Brook, IL
  • 06/2017 → 04/2018
    Lpl Financial, Llc
    Chicago, IL
  • 06/2017 → 04/2018
    Chicago, IL
  • 06/2017 → 04/2018
    Jmc Wealth Management, Inc.
    Chicago, IL
  • 04/2018 → 03/2019
    Oak Brook, IL
  • 04/2018 → 03/2019
    Charles Schwab Bank
    Oak Brook, IL
  • 06/2017 → 03/2018
    Tiffany & Co.
    Oak Brook, IL
  • 03/2019 → 12/2019
    Fsr Wealth Management, Ltd.
    Elmhurst, IL
  • 06/2020 → 09/2021
    Fidelity Investments
    Chicago, IL
  • 01/2020 → 06/2020
    Unemployed
    Chicago, IL
  • 10/2021 → 04/2022
    Tenyiah Simmons Insurance Agency
    Westchester, IL
  • 05/2022 → 10/2022
    State Farm Insurance
    Chicago, IL
  • 05/2022 → Present
    State Farm Vp Management Corp
    Chicago, IL
  • 05/2022 → Present
    Chicago, IL
  • 10/2022 → Present
    Alexis Rivera Insurance Agency
    Chicago, IL
Previous Registrations
Other Businesses

1) Alexis Rivera's Insurance Agency; Investment-related; 401 N Michigan Ave Ste 1640 Chicago, IL 60611; Other; Insurance (State Farm Mutual Automobile Insurance Company and its affiliates); Owner; Agent;10/1/2022; 80; 80; Service customers and supervise employees 2) Beat the Streets Chicago; Non-Investment-Related; 5985 S Archer Ave., Chicago, IL 60638; Public Service; Employee; 8/1/2021; 40, 0; Coach wrestling.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-03-24
S63 Uniform Securities Agent State Law Examination 2016-05-09
  • S66 Uniform Combined State Law Examination
    2017-03-24
  • S63 Uniform Securities Agent State Law Examination
    2016-05-09
Other Names
  • Alexis Paul Rivera
  • Alexis P Rivera

View on SEC IAPD

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