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Nikki Mccauley

State Farm Investment Management CORP.
19 Years of Experience
Roswell, GA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Nikki Mccauley is a registered investment advisor at State Farm Investment Management CORP., based in Roswell, GA, with 19 years of industry experience. Nikki is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 3,575 clients with $13B in assets under management.

State Farm Investment Management CORP.
Compensation
Fee-Only (% of Portfolio)
Firm Size
7097 advisors
Number of Clients
3,575 clients
Average Client Portfolio
$3.6M average
Assets Under Management
$12.9B

Fee Structure

Minimum Investment:$15K
Investment management only (planning not offered)
Minimum Annual Fee:$180
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K1.25%
$100K - $500K1.00%
$500K - $1.0M0.75%
$1M+0.50%

Customized fees may be negotiated for total account values of $10,000,000 or more. Certain fee reductions apply for employees and accounts funded from specific previously established brokerage accounts.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

11285 Elkins Rd, Suite D3, Roswell, GA, 30076

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
March 2017
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Nikki owns and works as an agent at Nikki McCauley's Insurance Agency, which sells State Farm insurance products. She dedicates about half of her time to servicing customers and supervising employees.

Employment History
Current Registrations
State Farm Investment Management CORP.
December 2018 - Present · 7 yrs 10 mos
State Farm Vp Management CORP.
November 2018 - Present · 7 yrs 11 mos
State Farm Vp Management CORP.Broker
November 2018 - Present · 7 yrs 11 mos
Previous Registrations
Fifth Third Securities, INC.
January 2018 - March 2018 · 2 mos
Fifth Third Securities, INC.Broker
January 2018 - March 2018 · 2 mos
J.P. Morgan Securities LLC
December 2014 - April 2017 · 2 yrs 4 mos
J.P. Morgan Securities LLCBroker
October 2014 - April 2017 · 2 yrs 6 mos
J.P. Morgan Securities LLCBroker
October 2012 - January 2014 · 1 yr 3 mos
Chase Investment Services CORP.Broker
July 2005 - October 2012 · 7 yrs 3 mos
State Registrations3 states
FLGATN
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Nikki Mccauley - Financial Advisor | TrueAdvisor