Roger Mai (CRD# 5508419) is an Investment Advisor Representative working at Horace Mann Investors, Inc. in Lake Forest, IL and has over 15 years of experience in the finance industry.
CRD# 5252940
Cetera Investment Advisers LLC
CRD# 1257255
Raymond James Financial Services Advisors, Inc.
CRD# 2424715
Mesirow Financial Investment Management, Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Uber | Chicago, IL | Sep 2022 - Current | 1 |
| Horace Mann Investors, Inc. | Springfield, IL | Oct 2020 - Current | 3 |
| Horace Mann Companies | Springfield, IL | Aug 2020 - Current | 3 |
| Horace Mann Investors, Inc. | Springfield, IL | Aug 2020 - Current | 3 |
| Bcg Securities, Inc. | Haddonfield, NJ | Aug 2020 - Aug 2020 | < 1 |
| The Prudential Insurance Company Of America | Chicago, IL | Jun 2019 - Aug 2020 | 1 |
| Pruco Securites LLC | Chicago, IL | Mar 2019 - Aug 2020 | 1 |
| Unemployed | Chicago, IL | Dec 2018 - Feb 2019 | < 1 |
| Valic Financial Advisors, Inc. | Chicago, IL | Feb 2010 - Nov 2018 | 8 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Jun 2008 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- IL
- WI
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Total Assets Under Management62MILLIONS
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Total Number of Accounts498ACCOUNTS
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Average Account Value$124,743
- Other
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WI, WV, WY
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