Chief Compliance Officer, Registered Principal
Bio
Thomas Shoemake, Chief Compliance Officer, provides primary oversight and supervision to two SEC Registered Investment Advisors and a FINRA registered broker-dealer within the HORAN entities. Tom’s responsibilities include developing and maintaining policies and procedures and the overall design/maintenance of the investment services compliance programs. He is also responsible for ensuring that HORAN investment regulated entities’ reporting complies with regulatory requirements as well as firm policies and supervisory procedures. Tom is charged with providing leadership and strategy to compliance, risk management, control and operations of the firm.
Areas of Expertise
Compliance Program Development
Anti-Money Laundering
Fraud Mitigation
Broker-Dealer & Investment Advisory Management
Community
- Retired from the U.S. Marine Corps, Reserve, after 27 years
- Campaign Participation included Iraq, Afghanistan and other conflicts
- Decorations include the Bronze Star Medal, Meritorious Service Medal, Commendation Medal and other various personal and campaign awards