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.
We are proud to announce that effective June 1, 2023, HORAN Health, our Employee Benefits division, has become a part of HUB International. Our commitment to local client services, integrity and trust remains steadfast.
HORAN Wealth continues its 75-year legacy of independent support in retirement, life insurance, financial planning, investment advising and more. To learn more about HORAN Wealth, click here.