Buddy Wayne Pool

LIDO

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BURLINGTON, MA · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

12 years registered in the securities industry

Current & Past Employments

Current

HORACE MANN INVESTORS, INC.Current·CRD# 11643

RIA

BD

602 North Baird #123, Midland, TX 79701

May 27, 2020 - Present

Past

HORACE MANN INVESTORS, INC.Past·CRD# 11643

BD

Amarillo, TX

May 19, 2016 - March 27, 2019

ALLSTATE FINANCIAL SERVICES, LLCPast·CRD# 18272

BD

Dallas, TX

April 14, 2014 - June 23, 2015

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Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

HM

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)

BD

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).

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

71

SEC notice filing (50 States and Territories)

Registered to provide investment advisory services in 50 US states and territories.

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 50 US states and territories.

Documents

Part 2 Brochures

HORACE MANN INVESTORS INC. FIRM BROCHURE (3/31/2026)

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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