Michael Tragesser, CSCP (Certified Securities Compliance Professional), manages all compliance functions of the Broker-Dealer operation to ensure compliance with FINRA, SEC, federal and state regulations. He minimizes HORAN’s exposure to risk associated with compliance in the Broker-Dealer by overseeing all business production and written material.

Mike conducts annual compliance meetings, monitors continuing education and holds frequent compliance training sessions for the securities staff. His thirteen years of industry experience and previous position with a national organization has given Mike experience with a wide variety of issues which allows him proactively to manage HORAN as a local organization. 

Community / Education

• The Ohio State University - B.A. Economics
• FINRA Series 7, 24, 53, and 63
• Certified Securities Compliance Professional (CSCP) 
• Literacy Network - Volunteer