Shawn Scholz
Shawn Scholz is the Chief Compliance Officer of AE Wealth Management & AE Financial Services. Shawn Scholz joined Advisors Excel in early fall, 2021. He is responsible for the leadership of AE Wealth Management and AE Financial Services compliance program and functions. Shawn is involved at a senior level in the interpretation and application of regulatory statutes and rules on a federal and state level and the impact those rules have on AEWM, AEFS and our advisors. Before joining Advisors Excel, Shawn was with Waddell & Reed, Inc & LPL Financial as Vice President, Compliance for 2 ½ years. Before that, he spent 20 years at Ameriprise Financial where he was Vice President, Compliance. His responsibilities at those prior firms included leading various compliance functions such as policy development, advisor recruiting reviews, licensing & registration, customer complaints, supervisory controls & testing, compliance training, branch/OSJ exams, etc. Shawn has a B.S. in Business Management and Project Management. He has been active on various industry groups included SIFMA, FSI, FINRA council, Regulatory Roundtable, etc. He has spoken at various industry events as well on topics such as senior investor protection, social media, DOL regulations, etc. Shawn is passionate in working with advisors to understand how compliance policies and regulatory rules impact advisors’ business and being an advocate to implement those policies and rules as efficiently and simply as possible.