JACKSON NATIONAL ASSET MANAGEMENT, LLC

JACKSON NATIONAL ASSET MANAGEMENT, LLC of LANSING, MI is an SEC-registered investment adviser (CRD 111079). Regulatory assets under management: $246.3B.

Registration

Business model

Compensation: % of AUM, Fixed.

Clients served: Charities.

Officers, owners & control persons (52)

Showing 25 of 52 people.

NameRoleLocation
Alison Russ ReedMANAGING BOARD MEMBER
Susan Soon RheeSECRETARY, SVP & GENERAL COUNSEL
Mark Daniel NerudPRESIDENT & CHIEF EXECUTIVE OFFICER; MANAGING BOARD MEMBER & CHAIR
Kristan Lee RichardsonASSISTANT SECRETARY
Garett James ChildsSENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER; VICE PRESIDENT & CHIEF FINANCIAL OFFICER
William Peter HardingSENIOR VICE PRESIDENT & CHIEF INVESTMENT OFFICER
Richard Joseph GormanCHIEF COMPLIANCE OFFICER & SENIOR VICE PRESIDENT
Eric Adam BjornsonSENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER; SENIOR VICE PRESIDENT, OPERATIONS
Scott Jay GoldeMANAGING BOARD MEMBER
Devkumar Dilip GangulyMANAGING BOARD MEMBER
Daniel William KoorsCHIEF OPERATING OFFICER & SENIOR VICE PRESIDENT
MEYER THOMAS JOHNMANAGING BOARD MEMBER
COLLINS MAURA KATHRYNMANAGING BOARD MEMBER
RHEE SUSAN SOONCHIEF LEGAL OFFICER; SECRETARY; SECRETARY & COMPLIANCE OFFICER (+2 more)
HOPPING ANDREW BOUTWELLCHAIRMAN; MANAGING BOARD MEMBER; PRESIDENT AND MANAGING BOARD MEMBER
NERUD MARK DANIELCFO; CFO AND MANAGING BOARD MEMBER; CHIEF EXECUTIVE OFFICER (+5 more)
FRITTS ROBERT ARTHURMANAGING BOARD MEMBER
FREDRICKS STEVEN JOSEPHACTING CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & SENIOR VICE PRESIDENT (+1 more)
MANDICH MARK BERNARDMANAGING BOARD MEMBER
ANDERSON MARK RICHARDVICE PRESIDENT
YOUNG STEVEN BRUCEVICE PRESIDENT
KOORS DANIEL WILLIAMCHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER & SENIOR VICE PRESIDENT (+2 more)
SIMON WILLIAM VICTORVICE PRESIDENT & CHIEF OPERATING OFFICER
WIGFALL SIDNEY GREGORYCHIEF COMPLIANCE OFFICER
KENELY J KEVINASSISTANT VICE PRESIDENT - FUND ACCOUNTING; VICE PRESIDENT

Disclosures (90)

Showing 10 of 28 distinct disclosure events.

InitiatedTypeAllegationsStatusAmount
2025-07-08regulatoryDURING THE PERIOD UNDER EXAMINATION, JACKSON FAILED TO FOLLOW ESTABLISHED PRACTICES AND PROCEDURES TO ENSURE COMPLIANCE WITH STATUTORY REQUIREMENTS, RESULTING IN THE INSTANCES OF: TEN PRODUCERS ACTING AS AN AGENT WITHOUT REQUIRED NOTIFICATION.Final$15K
2021-09-12regulatoryPOLICY HAD AN UNCLAIMED PROPERTY FILING AMOUNT OF $56,957.32. FILINGS ARE DONE ONCE A YEAR. THE FILING SHOULD HAVE BEEN COMPLETED IN APRIL 2019 BUT WAS INSTEAD FILED IN APRIL 2021. JACKSON WAS NOTIFIED ON 5/12/21 VIA EMAIL THAT THE LATE FILING WOULD RESULT IN A PENALTY. NV INITIALLY CHARGED A PENALT…Final$23K
2021-06-22regulatoryTHE SURVEY BY THE WASHINGTON OFFICE OF THE INSURANCE COMMISSIONER ("WA" OR "WASHINGTON") WAS A TARGETED SURVEY ASSESSING WHETHER JACKSON VERIFIED THAT FINANCIAL PROFESSIONALS HAD COMPLETED REQUIRED ANNUITY TRAINING BEFORE THEY SOLICITED ANNUITY BUSINESS. THE OFFICE REVIEWED THE ENTIRE POPULATION OF…Final$10K
2020-12-14regulatoryTHE EXAM BY THE DELAWARE DEPARTMENT OF INSURANCE ("DE" OR THE "DEPARTMENT") WAS A COMPREHENSIVE, MARKET CONDUCT EXAMINATION THAT COVERED ALL ASPECTS OF JACKSON'S CORE ANNUITY BUSINESS AS WELL AS CLOSED BLOCKS OF LIFE AND ANNUITY BUSINESS. THE EXAMINATION FOCUSED ON ADVERTISING, CLAIMS, COMPLAINTS, P…Final$35K
2020-12-14regulatoryVALLEY FORGE LIFE INSURANCE COMPANY (VFL) WAS ABLE TO COMPLETE THIS EXAM WITHOUT ANY FINES ISSUED AGAINST IT, BUT THE CAYMAN ISLANDS MONETARY AUTHORITY ("CIMA") DID ISSUE EXTENSIVE FINDINGS AGAINST JACKSON. THESE FINDINGS CAN ESSENTIALLY BE BROKEN DOWN INTO THREE CATEGORIES: (1) DEFICIENCIES IN VFL'…Final
2020-12-14regulatoryTHE FINDINGS AGAINST JACKSON WERE DISTRIBUTED ACROSS THREE CATEGORIES: (1) THE REQUIREMENT TO MAIL DELAWARE PRODUCERS NOTIFICATION OF TERMINATION OF THEIR APPOINTMENT, (2) COLLECTING SIGNED PAPERWORK IN REPLACEMENT TRANSACTIONS, AND (3) TIMELY RESPONDING TO LIFE INSURANCE CLAIMS.Final$35K
2020-06-01regulatoryTHE INVESTIGATION OF THE JACKSON CONTRACTS REVIEWED RESULTED IN THREE FINDINGS AND FIVE REMEDIAL ACTIONS. A MONETARY PENALTY OF $1,500 WAS ALSO ASSESSED. JACKSON MUST FILE DOCUMENTATION WITH THE DIVISION WITHIN 90 DAYS OF THE ENTRY OF AN ORDER OF ANY REMEDIAL ACTION TAKEN OR TO DOCUMENT THE PAYMENT…Final$2K
2020-04-02regulatoryTHERE WERE 5 FINDINGS AS PART OF THIS INVESTIGATION: FINDING 1 - FAILURE TO TIMELY CHANGE THE POLICY OWNERSHIP ACCORDING TO THE AGE OF MAJORITY (AOM) PROVISION OF THE POLICY. FINDING 2 - INDIVIDUALS OTHER THAN THE POLICY OWNERS WERE ALLOWED TO TAKE ACTION AGAINST THE POLICY SUCH AS CEASE PREMIUM PAY…Final$44K
2020-01-07regulatoryTHE COMPANY VIOLATED CERTAIN PROVISIONS OF THE LOUISIANA INSURANCE CODE, TITLE 22, LA. R.S. 11:1 ET SEQ. SPECIFICALLY, THE VIOLATION RELATES TO MISREPRESENTING THE BENEFITS OF THE POLICY AND PAYING OUT THE LUMP SUM TO A BENEFICIARY WHEN A PRE-SELECTED DEATH BENEFIT OPTION HAD BEEN SELECTED BY THE CO…Final$1K
2019-10-28regulatoryTHE EXAMINATION REPORT STATES THAT THE COMPANY FAILED TO FOLLOW ESTABLISHED PRACTICES AND PROCEDURES TO ENSURE COMPLIANCE WITH STATUTORY REQUIREMENTS, RESULTING IN THE INSTANCE OF: A.ONE (1) PRODUCER ACTING AS AGENT OF RESPONDENT WITHOUT REQUIRED APPOINTMENT.Final

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