Michael Shoemaker has been Chief Compliance Officer of Kayne Anderson Rudnick Investment Management since September 2019, is a control person of the firm and directly owns under 5% of it.
Kayne Anderson Rudnick Investment Management, LLC is a Los Angeles, CA firm with $39.4B under management, 24,735 clients and 47 advisers across 23 offices, as of its March 2026 filing.
No adviser firm registrations are on Michael Shoemaker’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 27 March 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 27 July 2004 |
| Series 7 | General Securities Representative Examination | 22 June 2004 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Robert Shoemaker
- CRD
- 4802572
- Firm
- Kayne Anderson Rudnick Investment Management · CRD 104599
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Michael Shoemaker work?
Michael Shoemaker has been Chief Compliance Officer of Kayne Anderson Rudnick Investment Management, LLC since September 2019, and is a control person of the firm.
Does Michael Shoemaker have a current investment-adviser registration?
Michael Shoemaker has a current broker registration and no current investment-adviser registration.
What exams has Michael Shoemaker passed?
Michael Shoemaker has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in June 2004. FINRA credited Michael Shoemaker with the SIE, which began in October 2018.
Is Michael Shoemaker registered with FINRA?
Yes. Michael Shoemaker has a current broker registration, under CRD 4802572.
Source: FINRA BrokerCheck
How can I verify Michael Shoemaker’s record?
Search CRD 4802572 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michael Shoemaker’s full registration record.
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