BS
Bruce D. Sauvageau
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CRD#: 1744449
BS
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.
Bruce Donald Sauvageau, who also goes by Bruce D Sauuageau, Bruce Donald Sawvageau, was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1987. Bruce had worked at 15 firms and has passed the Series 63, Series 65, Series 6, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bruce D Sauuageau | Bruce Donald Sawvageau
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
March 30, 2011 - October 10, 2013
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
MASHPEE, MA
Past
June 3, 2005 - May 10, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 3, 2005 - November 16, 2006
OSAIC FA, INC.
BD
CRD#: 3978
WALTHAM, MA
Past
May 20, 2003 - December 19, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Past
April 23, 1999 - May 8, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 23, 1999 - May 8, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
December 10, 1998 - April 28, 1999
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, CA
Past
September 20, 1996 - November 18, 1998
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
November 7, 1994 - February 9, 1995
MONTANO SECURITIES CORPORATION
BD
CRD#: 7887
ORANGE, CA
Past
March 16, 1993 - September 10, 1993
G.R. STUART & COMPANY, INC.
BD
CRD#: 29101
MAYNARD, MA
Past
February 9, 1993 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
BD
CRD#: 16153
Past
May 4, 1992 - June 4, 1993
DUNHILL EQUITIES, INC.
BD
CRD#: 21822
GARDEN CITY, NY
Past
January 29, 1990 - June 15, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
September 23, 1989 - February 24, 1990
J. T. MORAN & CO., INC.
BD
CRD#: 15655
Past
December 22, 1987 - September 14, 1989
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
DENVER, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HM
HORACE MANN INVESTORS, INC.
AARON RARICK AGENCY EAST | SEEDMIN FINANCIAL SERVICES, INC. | SECURE INSURANCE AGENCY | SEAN STEPHENS AGENCY | SEAN O'BRIEN AGENCY | SCHOOL EMPLOYEES INSURANCE AND FINANCIAL SOLUTIONS | SCHOOL EMPLOYEES INSURANCE & FINANCIAL SERVICES, LLC | SANKEY INSURANCE AND FINANCIAL SERVICES, INC. | SANKEY INSURANCE AND FINANCIAL SERVICES SOUTHEAST, INC. | RYAN HOFER AGENCY | ROPER INSURANCE & FINANCIAL SERVICES | RON BAUER INSURANCE AGENCY | REITER INSURANCE, LLC | REITER INSURANCE RESOURCES, LLC | POTTS FINANCIAL SERVICES INC | PEE DEE EDUCATORS INSURANCE AGENCY, TOO | PEE DEE EDUCATORS INSURANCE AGENCY, III | PEE DEE EDUCATORS INSURANCE AGENCY | PAUL KRAKLAN AGENCY LLC | ORR INSURANCE & FINANCIAL SERVICES INC | OLD TOWN INSURANCE AND FINANCIAL SERVICES | NUCKLES FINANCIAL | NEXT GENERATION FINANCIAL AND INSURANCE SOLUTIONS, INC. | MORGAN INSURANCE & FINANCIAL SERVICES | MITCHELL CHATFIELD AGENCY | MILL COLEMAN II AGENCY, LLC | MIDLANDS EDUCATOR'S INSURANCE, INC. | MCDOWELL INSURANCE & FINANCIAL SERVICES, INC. | MATTHEW JODINO AGENCY | MARK G ANDERSON INSURANCE AGENCY, INC. | MANASOTA ELITE EDUCATORS INSURANCE, LLC | MAIN LINE FINANCIAL SOLUTIONS | M&L INSURANCE & FINANCIAL SERVICES | LISA BUSSIERE, LLC. | LERMAN INSURANCE AND FINANCIAL SERVICES, INC. | LEON STURK LLC | LARROW INSURANCE LLC | LARROW INSURANCE AND FINANCIAL STRATEGIES | LARROW INSURANCE & FINANCIAL STRATEGIES, LLC EAST | LANGFORD INSURANCE & FINANCIAL SERVICES | LADY INSURANCE AND FINANCIAL SERVICES, LLC | KEVIN MCCARTHY AGENCY | KEITH BROOKS AGENCY | K SCHEIDING AGENCY | JOSHUA TREE INSURANCE AND FINANCIAL SERVICES, LLC | JIM NICOLOW AGENCY | JASON L. ROHRER AGENCY | JACKSON FINANCIAL, LLC | HUNT INSURANCE AGENCY, LLC | HORACE MANN INVESTORS, INC. | HORACE MANN INVESTORS INC | HELIX INSURANCE AND FINANCIAL SERVICES, LLC | HAGEMAN FAMILY INSURANCE | GULF COAST EDUCATORS INSURANCE | GULF COAST EDUCATORS III | GSP AGENCY | GRETCHEN REHM AGENCY, INC. | GRETCHEN REHM AGENCY | GOLDEN APPLE INSURANCE AND FINANCIAL SERVICES | GOLD STAR RETIREMENT AND INSURANCE | GEORGE C. PRY INSURANCE & FINANCIAL SERVICES INC. WEST | GEORGE C PRY INSURANCE AND FINANCIAL SERVICES, INC. | GEORGE C PRY INSURANCE AND FINANCIAL SERVICES, INC WEST | GCE WEALTH MANAGEMENT | GAC WEALTH MANAGEMENT SOULTIONS | FURLONG FINANCIAL, INC. | FROST INSURANCE | FRANCES MARION EDUCATORS INSURANCE AGENCY, LLC | FOOTHILLS FINANCIAL & INSURANCE SERVICES | FLORIDA EDUCATORS INSURANCE, LLC | FLORIDA EDUCATORS INSURANCE WEST COAST, INC. | FLORIDA EDUCATORS INSURANCE OF PINELLAS COUNTY | FLORIDA EDUCATOR INSURANCE EAST | FLORES-CHATFIELD AGENCY AND CHATFIELD, INC | FIRST EDUCATIONAL INSURANCE AND FINANCIAL SERVICES | FIRST CHOICE INSURANCE & FINANCIAL SERVICES | FINANCIAL SOLUTIONS FOR EDUCATORS | FINANCIAL FRAMEWORK, LLC | ESP FINANCIAL STRATEGIES | EDUCATOR'S CHOICE INSURANCE AGENCY, LLC | EDUCATOR INSURANCE SERVICES | EDUCATOR FOCUSED FINANCIAL SOLUTIONS & INSURANCE | EDUCATOR FOCUSED FINANCIAL SERVICES | EDUCATOR FINANCIAL SOLUTIONS, INC. | EDUCATOR FINANCIAL SERVICES, LLC | EDUCATOR BENEFITS INSURANCE SERVICES, INC. | EDUCATED FIRST SOLUTIONS | EDDIE SAMPLE FINANCIAL SERVICES AGENCY II | EDDIE SAMPLE FINANCIAL SERVICES AGENCY | DELORES MCCANN AGENCY | DELISLE INSURANCE & RETIREMENT, LLC | DELEON & ASSOCIATES FINANCIAL & INSURANCE SOLUTIONS | DAVIS AND WALLMAN FINANCIAL, LLC | DAVID STANLEY & ASSOCIATES, LLC | DAVID PECK AGENCY | CROKER & ASSOCIATES, LLC | CORNERSTONE EDUCATORS INSURANCE | COLEMAN FINANCIAL & INSURANCE SERVICES | CITRUS VALLEY INSURANCE | CHRIS GADDIS AGENCY | CHRIS BURNES AGENCY | CHIP LUM AGENCY | CHERRY CREEK EDUCATORS, INC. | CASTELLANO INSURANCE AND FINANCIAL SERVICES INC | CAPITAL INSURANCE SERVICES, INC. | CAPITAL CITY INSURANCE | BUCKEYE EDUCATOR INSURANCE, LLC | BRANDON MCGUIRE AGENCY | BOB TILLER AGENCY | BILL HARIG AGENCY | BICKETT INSURANCE AGENCY | ASTRAIOS FINANCIAL - EAST, LLC | ASTRAIOS FINANCIAL | ASHELY TURNER AGENCY | ARA FINANCIAL | APPLETREE BENEFITS | APPLE ED INSURANCE & FINANCIAL SERVICES | ALLISON ZECH AGENCY | ALAN MINGLEDORFF AGENCY | ADAMS INSURANCE | AARON RARICK AGENCY SOUTHEAST...
CRD#: 11643 / SEC#: 801-80964, 8-6082
RIA
Registered Investment Advisory firm - SEC (2/23/2015 Approved)Florida
Registered Investment Advisory firm - SEC (10/21/2009 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/29/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (10/26/2009 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/26/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/30/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/18/2009 Terminated)Tennessee
Registered Investment Advisory firm - SEC (11/20/2009 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
HM
HORACE MANN INVESTORS, INC.
AARON RARICK AGENCY EAST | SEEDMIN FINANCIAL SERVICES, INC. | SECURE INSURANCE AGENCY | SEAN STEPHENS AGENCY | SEAN O'BRIEN AGENCY | SCHOOL EMPLOYEES INSURANCE AND FINANCIAL SOLUTIONS | SCHOOL EMPLOYEES INSURANCE & FINANCIAL SERVICES, LLC | SANKEY INSURANCE AND FINANCIAL SERVICES, INC. | SANKEY INSURANCE AND FINANCIAL SERVICES SOUTHEAST, INC. | RYAN HOFER AGENCY | ROPER INSURANCE & FINANCIAL SERVICES | RON BAUER INSURANCE AGENCY | REITER INSURANCE, LLC | REITER INSURANCE RESOURCES, LLC | POTTS FINANCIAL SERVICES INC | PEE DEE EDUCATORS INSURANCE AGENCY, TOO | PEE DEE EDUCATORS INSURANCE AGENCY, III | PEE DEE EDUCATORS INSURANCE AGENCY | PAUL KRAKLAN AGENCY LLC | ORR INSURANCE & FINANCIAL SERVICES INC | OLD TOWN INSURANCE AND FINANCIAL SERVICES | NUCKLES FINANCIAL | NEXT GENERATION FINANCIAL AND INSURANCE SOLUTIONS, INC. | MORGAN INSURANCE & FINANCIAL SERVICES | MITCHELL CHATFIELD AGENCY | MILL COLEMAN II AGENCY, LLC | MIDLANDS EDUCATOR'S INSURANCE, INC. | MCDOWELL INSURANCE & FINANCIAL SERVICES, INC. | MATTHEW JODINO AGENCY | MARK G ANDERSON INSURANCE AGENCY, INC. | MANASOTA ELITE EDUCATORS INSURANCE, LLC | MAIN LINE FINANCIAL SOLUTIONS | M&L INSURANCE & FINANCIAL SERVICES | LISA BUSSIERE, LLC. | LERMAN INSURANCE AND FINANCIAL SERVICES, INC. | LEON STURK LLC | LARROW INSURANCE LLC | LARROW INSURANCE AND FINANCIAL STRATEGIES | LARROW INSURANCE & FINANCIAL STRATEGIES, LLC EAST | LANGFORD INSURANCE & FINANCIAL SERVICES | LADY INSURANCE AND FINANCIAL SERVICES, LLC | KEVIN MCCARTHY AGENCY | KEITH BROOKS AGENCY | K SCHEIDING AGENCY | JOSHUA TREE INSURANCE AND FINANCIAL SERVICES, LLC | JIM NICOLOW AGENCY | JASON L. ROHRER AGENCY | JACKSON FINANCIAL, LLC | HUNT INSURANCE AGENCY, LLC | HORACE MANN INVESTORS, INC. | HORACE MANN INVESTORS INC | HELIX INSURANCE AND FINANCIAL SERVICES, LLC | HAGEMAN FAMILY INSURANCE | GULF COAST EDUCATORS INSURANCE | GULF COAST EDUCATORS III | GSP AGENCY | GRETCHEN REHM AGENCY, INC. | GRETCHEN REHM AGENCY | GOLDEN APPLE INSURANCE AND FINANCIAL SERVICES | GOLD STAR RETIREMENT AND INSURANCE | GEORGE C. PRY INSURANCE & FINANCIAL SERVICES INC. WEST | GEORGE C PRY INSURANCE AND FINANCIAL SERVICES, INC. | GEORGE C PRY INSURANCE AND FINANCIAL SERVICES, INC WEST | GCE WEALTH MANAGEMENT | GAC WEALTH MANAGEMENT SOULTIONS | FURLONG FINANCIAL, INC. | FROST INSURANCE | FRANCES MARION EDUCATORS INSURANCE AGENCY, LLC | FOOTHILLS FINANCIAL & INSURANCE SERVICES | FLORIDA EDUCATORS INSURANCE, LLC | FLORIDA EDUCATORS INSURANCE WEST COAST, INC. | FLORIDA EDUCATORS INSURANCE OF PINELLAS COUNTY | FLORIDA EDUCATOR INSURANCE EAST | FLORES-CHATFIELD AGENCY AND CHATFIELD, INC | FIRST EDUCATIONAL INSURANCE AND FINANCIAL SERVICES | FIRST CHOICE INSURANCE & FINANCIAL SERVICES | FINANCIAL SOLUTIONS FOR EDUCATORS | FINANCIAL FRAMEWORK, LLC | ESP FINANCIAL STRATEGIES | EDUCATOR'S CHOICE INSURANCE AGENCY, LLC | EDUCATOR INSURANCE SERVICES | EDUCATOR FOCUSED FINANCIAL SOLUTIONS & INSURANCE | EDUCATOR FOCUSED FINANCIAL SERVICES | EDUCATOR FINANCIAL SOLUTIONS, INC. | EDUCATOR FINANCIAL SERVICES, LLC | EDUCATOR BENEFITS INSURANCE SERVICES, INC. | EDUCATED FIRST SOLUTIONS | EDDIE SAMPLE FINANCIAL SERVICES AGENCY II | EDDIE SAMPLE FINANCIAL SERVICES AGENCY | DELORES MCCANN AGENCY | DELISLE INSURANCE & RETIREMENT, LLC | DELEON & ASSOCIATES FINANCIAL & INSURANCE SOLUTIONS | DAVIS AND WALLMAN FINANCIAL, LLC | DAVID STANLEY & ASSOCIATES, LLC | DAVID PECK AGENCY | CROKER & ASSOCIATES, LLC | CORNERSTONE EDUCATORS INSURANCE | COLEMAN FINANCIAL & INSURANCE SERVICES | CITRUS VALLEY INSURANCE | CHRIS GADDIS AGENCY | CHRIS BURNES AGENCY | CHIP LUM AGENCY | CHERRY CREEK EDUCATORS, INC. | CASTELLANO INSURANCE AND FINANCIAL SERVICES INC | CAPITAL INSURANCE SERVICES, INC. | CAPITAL CITY INSURANCE | BUCKEYE EDUCATOR INSURANCE, LLC | BRANDON MCGUIRE AGENCY | BOB TILLER AGENCY | BILL HARIG AGENCY | BICKETT INSURANCE AGENCY | ASTRAIOS FINANCIAL - EAST, LLC | ASTRAIOS FINANCIAL | ASHELY TURNER AGENCY | ARA FINANCIAL | APPLETREE BENEFITS | APPLE ED INSURANCE & FINANCIAL SERVICES | ALLISON ZECH AGENCY | ALAN MINGLEDORFF AGENCY | ADAMS INSURANCE | AARON RARICK AGENCY SOUTHEAST...
CRD#: 11643 / SEC#: 801-80964, 8-6082
RIA
Registered Investment Advisory firm - SEC (2/23/2015 Approved)Florida
Registered Investment Advisory firm - SEC (10/21/2009 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/29/2010 Terminated)Indiana
Registered Investment Advisory firm - SEC (10/26/2009 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (6/26/2009 Terminated)Minnesota
Registered Investment Advisory firm - SEC (7/30/2010 Terminated)North Carolina
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Ohio
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/18/2009 Terminated)Tennessee
Registered Investment Advisory firm - SEC (11/20/2009 Terminated)Virginia
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (5/13/2009 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
One Horace Mann Plaza, Springfield, IL 62715-0001
Mailing Address
One Horace Mann Plaza, Springfield, IL 62715-0001
Phone number
(217) 789-2500
Established
Maryland since 05/21/1957
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
74
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORACE MANN EDUCATORS CORPORATION (PUBLICLY HELD COMPANY) | CORPORATION - PARENT COMPANY | |
| GARLATTI, JEFFREY | NATIONAL SALES MANAGER | 5670941 |
| GAYLE, TROY MARSHALL | TREASURER | 5925156 |
| MICHAEL, LINEA KATE | SECRETARY | 5791549 |
| TAYLOR, HOLLEY WATSON | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4171040 |
| TSAI, PHYLLIS | FINOP, PFO, POO | 7200380 |
Disclosures
| Regulatory Event | 6 |
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.
