Advisor at State Farm Investment Management
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
State Farm Investment Management
Location
Mesa, AZ 85202
Credentials
Series 63, Series 65
Industry experience
14 years
Katie Lau is a financial advisor with State Farm Investment Management Corp. and holds the Series 63 and Series 65 designations. She has 14 years of industry experience, including over a decade at HSBC Securities (USA) Inc. and currently operates her own insurance agency. State Farm Investment Management Corp. provides discretionary investment management through centrally designed model portfolios and serves as adviser and portfolio manager for the State Farm Funds. The firm offers a retail wrap-fee program for individual and retirement accounts, using a combination of low-cost ETFs and actively managed mutual funds with automated rebalancing and tax-loss harvesting.
Based on State Farm Investment Management
$15,000 - $99,999: 1.25% $100,000 - $499,999: 1.00% $500,000 - $999,999: 0.75% $1,000,000 - $9,999,999: 0.50%
Account minimum: $15,000 Minimum fee: Minimum quarterly Advisory Fee of $45 for accounts below $15,000; $18.75 minimum for accounts qualifying for lowest advisory fee
1245 W Guadalupe Rd Ste B4
Mesa, AZ 85202
Arizona
State Farm Investment Management Corp
2025 - Present (1 year)
State Farm VP Management Corp
2025 - Present (1 year)
Katie Lau's Insurance Agency
2025 - Present (1 year)
State Farm VP Management Corp.
2024 - 2025 (1 year)
State Farm Investment Management Corp
2024 - 2025 (1 year)
State Farm Insurance
2024 - 2025 (1 year)
State Farm Investment Management Corp
2024 - 2024 (1 year)
State Farm Insurance
2024 - 2024 (1 year)
State Farm VP Management Corp.
2024 - 2024 (1 year)
Isaias Guzman Insurance Agency
2022 - 2024 (2 years)
Unemployed
2022 - 2022 (1 year)
HSBC SECURITIES (USA) Inc.
2009 - 2022 (13 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
CFP®, Series 63, Series 65, Series 66
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