HORACE MANN INVESTORS, INC. of SPRINGFIELD, IL is an SEC-registered investment adviser (CRD 11643). This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Charities.
Showing 25 of 30 people.
| Name | Role | Location |
|---|---|---|
| Linea Kate Michael | SECRETARY | — |
| Troy Marshall Gayle | TREASURER | — |
| Phyllis Tsai | FINOP, PFO, POO | — |
| Holley Watson Taylor | PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Jeffrey Garlatti | NATIONAL SALES MANAGER | — |
| Adam Paglione | CHIEF EXECUTIVE OFFICER | — |
| JOHNSON LYNDA ANN | CHIEF FINANCIAL OPERATIONS OFFICER | — |
| GAYLE TROY MARSHALL | TREASURER | — |
| SHERMAN NORMAN RALPH | CHIEF COMPLIANCE OFFICER; PRESIDENT & CEO & CHIEF COMPLIANCE OFFICER | — |
| RIVES JASON ASBURY | AVP, INVESTMENT ADVISORY OPERATIONS & COMPLIANCE; DIRECTOR, RIA & BROKERAGE COMPLIANCE | — |
| BARNETT DIANE MARIE | COMPLIANCE OFFICER - TAX | — |
| CONKLIN BRET ALAN | CONTROLLER | — |
| CHRISTIAN ANGELA SUE | TREASURER | — |
| ARTHUR ELIZABETH EVANS | SECRETARY | — |
| CAPARROS ANN MARY | DIRECTOR | — |
| PROVENZANO CRAIG STEVEN | TAX DIRECTOR | — |
| MICHAEL LINEA KATE | ASSISTANT SECRETARY; SECRETARY | — |
| SHARPE MATTHEW PETER | DIRECTOR AND CHAIRMAN OF THE BOARD | — |
| ENGLAND VALEDA JO | MANAGER, SECURITIES COMPLIANCE PRINCIPAL | — |
| PAPPAS ROBERT LEE | AVP SUITABILITY REVIEW; DIRECTOR OF SUITABILITY REVIEW | — |
| RADCLIFFE JEFFERY ELLIS | AVP, CHIEF SUPERVISORY OFFICER; CHIEF COMPLIANCE OFFICER; DIRECTOR OF SUPERVISION | — |
| CHRISTIAN ANGELA S | TREASURER | — |
| CARLEY DONALD MARTIN | DIRECTOR; DIRECTOR & SECRETARY | — |
| BENHAM BRET LAVIN | CHAIRMAN OF THE BOARD | — |
| BROWN DAVID ELLIOT | AVP, INVESTMENT ADVISORY OPERATIONS AND COMPLIANCE | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-12-30 | regulatory | IN 2016, THE STATE OF DELAWARE TRANSITIONED ITS DEFERRED COMPENSATION PLANS FROM NUMEROUS INDEPENDENT 403(B) SERVICE PROVIDERS TO A SOLE PROVIDER. RELATED TO THIS TRANSITION, OVER 120 TEACHERS WITH 403(B) ACCOUNTS WITH HORACE MANN OPENED IRAS IN 2016 AND 2017 WITH THE FIRM, THROUGH ONE OF ITS REGIST… | Final | $300K |
| 2006-12-08 | regulatory | MEMBER FILED AN INCORRECT 3070 REPORT ON A REGISTERED REPRESENTATIVE AND FAILED TO AMEND THE FORM U4 FOR THIS REPRESENTATIVE IN A TIMELY FASHION. | Final | $10K |
| 2005-11-30 | regulatory | A REGISTERED REPRESENTATIVE OF HORACE MANN INVESTORS, INC. LOCATED IN THE STATE OF VERMONT, THROUGH AN INADVERTENT OMISSION BY PERSONNEL NO LONGER EMPLOYED BY THE FIRM, CONDUCTED BUSINESS IN THE STATE WITHOUT BEING PROPERLY REGISTERED WITH THE DIVISION | Final | $23K |
| 1989-10-16 | regulatory | HORACE MANN INVESTORS, INC. WAS ISSUED A SUSPENSION ORDER OF ITS BROKER/DEALER LICENSE IN THE STATE OF IOWA EFFECTIVE OCTOBER 16, 1989. THE SUSPENSION WAS ISSUED FOR FAILURE TO HAVE AN EFFECTIVE SURETY BOND ON FILE WITH THE STATE. HORACE MANN INVESTORS WAS IN THE PROCESS OF OBTAINING A REPLACEMENT B… | Final | — |
| 1977-01-10 | regulatory | HORACE MANN INVESTORS, INC. FAILED TO HAVE A QUALIFIED SUPERVISORY OFFICER. | Final | — |