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Shawn Mihal

SVP, Chief Compliance Officer at Osaic Wealth

Investment adviser and broker registrationsScottsdale, AZSEC record checked 17 October 2026

24
Years in the industry
3
Years at the firm
6
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

Shawn Mihal is SVP, Chief Compliance Officer of Osaic Wealth, Inc., a Scottsdale investment adviser managing $235B. Shawn Mihal has been registered through Osaic Wealth since 1 September 2023, has 24 years in the industry across 6 firms and has passed 5 licensing exams.

Role at Osaic Wealth

Title on Schedule A
SVP, Chief Compliance Officer
Control
Shawn Mihal is not a control person of Osaic Wealth.
Ownership
An individual ownership band is not available in the source record.
Tenure
Shawn Mihal has held the filed role since June 2025.

The firm

Osaic Wealth, Inc.
Scottsdale, AZ

Form ADV filed 29 September 2026

$235B AUM575,512 clients7,143 advisers26 offices

Career on record

Shawn Mihal has been registered through Osaic Wealth since September 2023, and before that through Sagepoint Financial, Inc., LPL Financial LLC, Waddell & Reed, Transamerica Financial Advisors, Inc. and Great American Advisors, Inc..

Firms and exams, newest first
  1. Osaic Wealth, Inc.Current
    – present · 3 years
    Scottsdale, AZ · Adviser representative · Firm CRD 23131
  2. Sagepoint Financial, Inc.
    – · under a year
    Fort Lauderdale, FL · Adviser representative · Firm CRD 133763
  3. Passed Series 99TO · 2023
  4. LPL Financial LLC
    – · 1 year
    Ft. Lauderdale, FL · Adviser representative · Firm CRD 6413
  5. LPL Financial LLC
    – · under a year
    Ft. Lauderdale, FL · Adviser representative · Firm CRD 6413
  6. Passed SIE · 2018
  7. Waddell & Reed
    – · 7 years
    Fort Lauderdale, FL · Adviser representative · Firm CRD 866
  8. Transamerica Financial Advisors, Inc.
    – · 5 years
    St. Petersburg, FL · Adviser representative · Firm CRD 16164
  9. Passed Series 66 · 2005
  10. Great American Advisors, Inc.
    – · 6 years
    Cincinnati, OH · Adviser representative · Firm CRD 36451
  11. Passed Series 24 · 2002
  12. Passed Series 7 · 2001

Registrations and exams

Shawn Mihal has a current investment-adviser registration in Florida and Missouri and has passed 5 qualifying exams.

Florida1 September 2023
Scope
Investment adviser representative
Status
Approved
Missouri1 September 2023
Scope
Investment adviser representative
Status
Approved

Examinations

Series 666 September 2005
Name
Uniform Combined State Law Examination
Series 2415 May 2002
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 713 November 2001
Name
General Securities Representative Examination

Individual record

Full name
Shawn Michael Mihal
CRD
3262384
Firm
Osaic Wealth, Inc.
Registration status
Investment adviser and broker registrations
Office
18700 N. HAYDEN ROAD, SUITE 255, Scottsdale, AZ 85255

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Shawn Mihal work?

Shawn Mihal has been SVP, Chief Compliance Officer of Osaic Wealth, Inc. since June 2025.

Source: Form ADV, Schedule A, filed 29 September 2026

Is Shawn Mihal a financial advisor?

Yes. Shawn Mihal has a current investment-adviser registration in Florida and Missouri, through Osaic Wealth since September 2023, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Shawn Mihal have?

Shawn Mihal has worked in the financial industry for 24 years as of 17 October 2026, counted from 3 July 2002, across 6 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Shawn Mihal passed?

Shawn Mihal has passed 5 licensing exams: the Series 7, Series 24, Series 66, SIE and Series 99TO. The earliest, the Series 7, was passed in November 2001.

Source: IAPD individual record, checked 17 October 2026

Where did Shawn Mihal work before Osaic Wealth?

Before Osaic Wealth, Shawn Mihal was registered through Sagepoint Financial, Inc., May 2023 to September 2023; LPL Financial LLC, January 2022 to October 2022; LPL Financial LLC, July 2021 to December 2021; Waddell & Reed, April 2015 to October 2021; Transamerica Financial Advisors, Inc., September 2010 to March 2015; Great American Advisors, Inc., January 2005 to August 2010.

Source: IAPD individual record, checked 17 October 2026

Where is Shawn Mihal based?

Shawn Mihal’s registered office is in Scottsdale, AZ.

Source: IAPD individual record, checked 17 October 2026

Leadership at Osaic Wealth

Sources

  1. IAPD individual record, CRD 3262384. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Osaic Wealth, Inc., filed 29 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Shawn Mihal or Osaic Wealth, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.