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Current Employers
Horace Mann Investors, Inc.

1 Horace Mann Plaza, Springfield, IL 62715-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2020-09-28
WI RA APPROVED 2020-08-31
  • IL RA
    APPROVED
    Since 2020-09-28
  • WI RA
    APPROVED
    Since 2020-08-31

Branch Locations

One Horace Mann Plaza, Springfield, IL 62715-0001 • UNITED STATES

100 Saunders Road Suite 168, Lake Forest, IL 60045 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Valic Financial Advisors, Inc. Chicago IL 02/2010 11/2018
Unemployed Chicago IL 12/2018 02/2019
The Prudential Insurance Company Of America Chicago IL 06/2019 08/2020
Pruco Securites Llc Chicago IL 03/2019 08/2020
Bcg Securities, Inc. Haddonfield NJ 08/2020 08/2020
Horace Mann Companies Springfield IL 08/2020 Present
Horace Mann Investors, Inc. Springfield IL 08/2020 Present
Horace Mann Investors, Inc. Springfield IL 10/2020 Present
Previous Registrations
Other Businesses

1. INSURANCE AGENT OFFERING LIFE PRODUCTS 2.UBER POSITION: Driver NATURE: transportation service. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 0 START DATE: 04/05/2022 ADDRESS: 444 Parkway Drive, 226, Lincolnshire IL 60069, United States DESCRIPTION: driver individuals to their destination.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-16
  • S66 Uniform Combined State Law Examination
    2008-06-16
Other Names
  • Roger Paul Mai
  • Roger Paul Mai
  • Rogelio Paul Mai
  • Rogelio Paul Mai

View on SEC IAPD

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