Robert L. Pappas

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CRD#: 2130536

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 Lee Pappas, who also goes by Rob Pappas, Robert L Pappas, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1991. Robert had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rob Pappas | Robert L Pappas

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.

Blog Corner

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®

None

Experience

Past

March 30, 2004 - April 20, 2022

HORACE MANN INVESTORS, INC.

CRD#: 11643

SPRINGFIELD, IL

Past

January 3, 2002 - March 26, 2004

ASSIST INVESTMENT MANAGEMENT COMPANY, INC.

CRD#: 34902

LEAWOOD, KS

Past

May 4, 2000 - December 31, 2001

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

January 3, 2000 - April 25, 2000

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

MORRIS PLAINS, NJ

Past

May 11, 1999 - January 3, 2000

MERCANTILE INVESTMENT SERVICES, INC.

CRD#: 19908

ST. LOUIS, MO

Past

November 12, 1992 - August 8, 1995

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

March 8, 1991 - October 13, 1992

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

March 8, 1991 - October 13, 1992

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

HORACE MANN INVESTORS, INC.

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)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/6/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/5/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 8/6/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 5/7/2004

Investment Company Products/Variable Contracts Principal Examination

Current Firm

HORACE MANN INVESTORS, INC.

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)

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

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HMII ADV PART 2 BROCHURE MARCH 2024 (3/28/2025)

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

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.

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Robert L. Pappas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ASSIST INVESTMENT MANAGEMENT COMPANY, INC.

INVEST FINANCIAL CORPORATION

FIRSTAR INVESTMENT SERVICES,INC.

MERCANTILE INVESTMENT SERVICES, INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

HORACE MANN INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/6/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/10/1999

Series 6

Date: 3/5/1991

Series 51

Date: 8/6/2004

Series 26

Date: 5/7/2004

Current Firm

HORACE MANN INVESTORS, INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HORACE MANN INVESTORS, INC.

TRUST BUT VERIFY

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