JACKSON NATIONAL ASSET MANAGEMENT, LLC of LANSING, MI is an SEC-registered investment adviser (CRD 111079). Regulatory assets under management: $246.3B.
Compensation: % of AUM, Fixed.
Clients served: Charities.
Showing 25 of 52 people.
| Name | Role | Location |
|---|---|---|
| Alison Russ Reed | MANAGING BOARD MEMBER | — |
| Susan Soon Rhee | SECRETARY, SVP & GENERAL COUNSEL | — |
| Mark Daniel Nerud | PRESIDENT & CHIEF EXECUTIVE OFFICER; MANAGING BOARD MEMBER & CHAIR | — |
| Kristan Lee Richardson | ASSISTANT SECRETARY | — |
| Garett James Childs | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER; VICE PRESIDENT & CHIEF FINANCIAL OFFICER | — |
| William Peter Harding | SENIOR VICE PRESIDENT & CHIEF INVESTMENT OFFICER | — |
| Richard Joseph Gorman | CHIEF COMPLIANCE OFFICER & SENIOR VICE PRESIDENT | — |
| Eric Adam Bjornson | SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER; SENIOR VICE PRESIDENT, OPERATIONS | — |
| Scott Jay Golde | MANAGING BOARD MEMBER | — |
| Devkumar Dilip Ganguly | MANAGING BOARD MEMBER | — |
| Daniel William Koors | CHIEF OPERATING OFFICER & SENIOR VICE PRESIDENT | — |
| MEYER THOMAS JOHN | MANAGING BOARD MEMBER | — |
| COLLINS MAURA KATHRYN | MANAGING BOARD MEMBER | — |
| RHEE SUSAN SOON | CHIEF LEGAL OFFICER; SECRETARY; SECRETARY & COMPLIANCE OFFICER (+2 more) | — |
| HOPPING ANDREW BOUTWELL | CHAIRMAN; MANAGING BOARD MEMBER; PRESIDENT AND MANAGING BOARD MEMBER | — |
| NERUD MARK DANIEL | CFO; CFO AND MANAGING BOARD MEMBER; CHIEF EXECUTIVE OFFICER (+5 more) | — |
| FRITTS ROBERT ARTHUR | MANAGING BOARD MEMBER | — |
| FREDRICKS STEVEN JOSEPH | ACTING CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & SENIOR VICE PRESIDENT (+1 more) | — |
| MANDICH MARK BERNARD | MANAGING BOARD MEMBER | — |
| ANDERSON MARK RICHARD | VICE PRESIDENT | — |
| YOUNG STEVEN BRUCE | VICE PRESIDENT | — |
| KOORS DANIEL WILLIAM | CHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER & SENIOR VICE PRESIDENT (+2 more) | — |
| SIMON WILLIAM VICTOR | VICE PRESIDENT & CHIEF OPERATING OFFICER | — |
| WIGFALL SIDNEY GREGORY | CHIEF COMPLIANCE OFFICER | — |
| KENELY J KEVIN | ASSISTANT VICE PRESIDENT - FUND ACCOUNTING; VICE PRESIDENT | — |
Showing 10 of 28 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-07-08 | regulatory | DURING 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 |
| 2021-09-12 | regulatory | POLICY 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 |
| 2021-06-22 | regulatory | THE 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 |
| 2020-12-14 | regulatory | THE 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 |
| 2020-12-14 | regulatory | VALLEY 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 | — |
| 2020-12-14 | regulatory | THE 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 |
| 2020-06-01 | regulatory | THE 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 |
| 2020-04-02 | regulatory | THERE 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 |
| 2020-01-07 | regulatory | THE 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 |
| 2019-10-28 | regulatory | THE 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 | — |