Maribel L. Baumberger

HORACE MANN INVESTORS

Greenwood, IN 46142

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CRD#: 3089549

Professional summary

Maribel L Baumberger is a registered financial professional currently at HORACE MANN INVESTORS, INC. located in Greenwood, Indiana.

Maribel is registered as a RR (Registered Representative) and started their career in finance in 1998. Maribel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Maribel L Baumberger's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

January 27, 2011 - Present

HORACE MANN INVESTORS, INC.

Office #1: 300 South Madison Avenue Suite 375, Greenwood, IN 46142

RIA

CRD#: 11643

Greenwood, IN

Past

December 10, 2008 - December 31, 2008

FORESTERS EQUITY SERVICES, INC.

RIA

CRD#: 18464

INDIANAPOLIS, IN

Past

December 10, 2008 - November 3, 2009

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

INDIANAPOLIS, IN

Past

February 1, 2005 - January 4, 2007

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

INDIANAPOLIS, IN

Past

May 14, 2004 - January 4, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

INDIANAPOLIS, IN

Past

May 14, 2004 - January 4, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

INDIANAPOLIS, IN

Past

October 1, 2002 - December 31, 2003

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

December 28, 2001 - December 31, 2003

AMERICAN GENERAL SECURITIES INCORPORATED

RIA

CRD#: 13626

INDIANAPOLIS, IN

Past

August 31, 1998 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(7/31/2014)

Indiana
(1/27/2011)

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

IAR

Series 65

Date: 5/27/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/28/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/21/2000

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Maribel L. Baumberger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Maribel L Baumberger's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESTERS EQUITY SERVICES, INC.

FORESTERS EQUITY SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL EQUITY SERVICES CORPORATION

Primary Firm SEC Registration

HORACE MANN INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/27/1999

Series 63

Date: 8/17/1998

SIE

Date: 10/1/2018

Series 6

Date: 8/28/1998

Series 26

Date: 1/21/2000

FINRA

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.

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