Robert H. Mann
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Horace Mann, who also goes by Bob Mann, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2017 - November 12, 2021
BANKERS LIFE SECURITIES, INC.
June 26, 2017 - November 12, 2021
BANKERS LIFE ADVISORY SERVICES, INC.
January 12, 2015 - December 21, 2015
MML INVESTORS SERVICES, LLC
December 16, 2014 - December 21, 2015
MML INVESTORS SERVICES, LLC
March 4, 2008 - October 20, 2014
LPL FINANCIAL LLC
March 4, 2008 - October 20, 2014
LPL FINANCIAL LLC
July 19, 2002 - March 4, 2008
IFMG SECURITIES, INC.
January 28, 1992 - March 4, 2008
IFMG SECURITIES, INC.
October 24, 1989 - January 23, 1992
UBS FINANCIAL SERVICES INC.
December 26, 1986 - November 15, 1989
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BANKERS LIFE SECURITIES, INC.
CRD#: 173962 / SEC#: , 8-69562
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CDOC, INC. | PARENT COMPANY | |
| GOLDBERG, SCOTT LOUIS | BOARD MEMBER | 5296395 |
| HEILMAN, CHERYL LYNN | PRESIDENT/CEO/DIRECTOR | 2114445 |
| JOSEPHSON, STEVEN M | COO, DIRECTOR | 2239540 |
| KELLY, BRETT J | DIRECTOR, BLS OPERATIONS | 4818868 |
| LAMSON, MARK LEE | DIRECTOR OF SALES PRACTICE | 1796166 |
| MCDONOUGH, PAUL H | BOARD MEMBER | 7089411 |
| ROBERTS, ALBERTA STEPHENS | CHIEF COMPLIANCE OFFICER/ SECRETARY | 2681068 |
| TUCKER, CLARK BOMAR | FINOP | 1977842 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
