Roger Mai
Roger Mai is a registered investment advisor at Horace Mann Investors, INC., based in Springfield, IL, with 17 years of industry experience. Roger is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.60% |
| $250K - $500K | 1.60% |
| $500K - $1.0M | 1.40% |
| $1.0M - $5.0M | 1.20% |
| $5M+ | 1.10% |
Fees vary by specific model program selected. Rates shown represent the maximum fees across programs such as BNY AdvisorFlex and BNY Managed360.
Fee Estimator
Location
One Horace Mann Plaza, Springfield, IL, 62715-0001
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
November 2018Other Business ActivitiesSells Insurance
Roger is an insurance agent offering life insurance products and also works as an Uber driver. Driving for Uber takes about 10-20% of Roger's time.
Employment History
Current Registrations
Horace Mann Investors, INC.Broker
Horace Mann Investors, INC.
Previous Registrations
Bcg Securities, INC.
Bcg Securities, INC.Broker
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
VALIC Financial Advisors, INC.
VALIC Financial Advisors, INC.Broker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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