RM
Roger P. Mai
HORACE MANN INVESTORS
Lake Forest, IL 60045
Some features on this profile are disabled
CRD#: 5508419
RM
Professional summary
Roger Paul Mai, who also goes by Rogelio Paul Mai Jr, Rogelio Paul Mai, Roger Paul Mai Jr, Roger Paul Mai, is a registered financial advisor currently at HORACE MANN INVESTORS, INC. located in Lake Forest, Illinois.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Roger has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rogelio Paul Mai Jr | Rogelio Paul Mai | Roger Paul Mai Jr | Roger Paul Mai
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.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Paul Mai's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roger Paul Mai's 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®
NoneExperience
Current
August 31, 2020 - Present
HORACE MANN INVESTORS, INC.
Office #1: 100 Saunders Road Suite 168, Lake Forest, IL 60045RIA
BD
CRD#: 11643
Lake Forest, IL
Current
August 31, 2020 - Present
HORACE MANN INVESTORS, INC.
Office #1: 100 Saunders Road Suite 168, Lake Forest, IL 60045RIA
BD
CRD#: 11643
Lake Forest, IL
Past
August 24, 2020 - August 31, 2020
BCG SECURITIES, INC.
RIA
CRD#: 70
CHICAGO, IL
Past
August 20, 2020 - August 31, 2020
BCG SECURITIES, INC.
BD
CRD#: 70
CHERRY HILL, NJ
Past
July 18, 2019 - August 14, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Chicago, IL
Past
March 21, 2019 - August 14, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Chicago, IL
Past
February 19, 2010 - November 20, 2018
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
CHICAGO, IL
Past
February 16, 2010 - November 20, 2018
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
CHICAGO, IL
Past
June 18, 2008 - December 24, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CHICAGO, IL
Past
June 4, 2008 - December 24, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
CHICAGO, IL
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Illinois(9/28/2020)
IAR
Illinois(9/28/2020)
RR
Louisiana(1/2/2025)
RR
Minnesota(11/18/2024)
RR
Wisconsin(8/31/2020)
IAR
Wisconsin(8/31/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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.
