SHAWN MIHAL NAMED VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER
FOR TRANSAMERICA FINANCIAL ADVISORS, INC.
St. Petersburg, FL (Sept. 7, 2010) – Transamerica Financial Advisors, Inc. (TFA) announced today that Shawn Mihal will be joining the firm as Vice President and Chief Compliance Officer (CCO), effective September 7, 2010.
Shawn comes to TFA from Great American Advisors in Cincinnati, where he served as GAA's CCO for the past six years.
As CCO of GAA, Shawn was responsible for establishing, administering and enforcing GAA's broker-dealer and investment adviser supervisory and compliance policies and procedures. He was also responsible for the general management and leadership of the firm's Compliance staff including the handling of advertising and sales literature reviews, customer complaints, litigations and arbitrations, branch office audits, licensing and registrations, and internal investigations.
“We’re thrilled to have someone of Shawn’s caliber join TFA,” says Seth Miller, President, Transamerica Financial Advisors, Inc. “His experience and focus on helping our representatives as they work with their clients will be tremendous assets as he joins our growing firm.”
“We’re very excited about the addition of Shawn to our Management Team and the many advantages his experience will bring to our Advisors,” says Mike Scherrman, Chief Operating Officer, Transamerica Financial Advisors, Inc.
Shawn has written commentary letters to the SEC and FINRA on a variety of rule proposals and was cited in the September 7, 2007 SEC Release (34-56375; File No. SR-NASD-183) approving Rule 2821 Member's Responsibilities Regarding Deferred Variable Annuities. He holds FINRA Series 7, 24, and 66 securities licenses. He is a member of the National Society of Compliance Professionals. Shawn earned his bachelor's degree in Business Economics from the University of Cincinnati.
About Transamerica Financial Advisors, Inc.
Transamerica Financial Advisors, Inc. is an independent, full-service broker/dealer member of FINRA with over 1600 Registered Representatives, and a federally Registered Investment Advisor. It is an AEGON company. AEGON is an international life insurance, pension and investment organization based in The Hague, the Netherlands. AEGON has businesses in over twenty markets in the Americas, Europe and Asia and the AEGON companies employ nearly 28,000 people and have over 40 million customers across the globe.
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