Independent broker/dealer, ProEquities, a wholly owned subsidiary of Protective Life Corporation, has added Blaine Miller as Chief Supervision Officer and Steve Youhn as Chief Compliance Officer.
Miller and Youhn will report to Chris Flint, President and Chief Executive Officer of ProEquities, and be responsible for leading all facets of the firm’s sales supervision and compliance functions.
“The addition of Blaine and Steve to ProEquities’ leadership team further demonstrates our commitment to the firm’s sales supervision and compliance program in a rapidly evolving industry," says Flint. “It is particularly opportune as the firm moves toward full compliance with the Department of Labor’s new rules relating to the activities of fiduciaries with respect to retirement plans and IRAs. Collectively, their extensive knowledge, experience with retail investment advisory firms, independent broker/dealers, and leadership experience will be a valuable asset to ProEquities and our advisors.”
Miller joins ProEquities with fifteen years of experience in a variety of operational and compliance leadership roles. He most recently served as the Manager of Retail Surveillance and Examinations and Senior Compliance Officer for both the independent and captive agencies at Sterne Agee & Leach, Inc, a division of Stifel. Prior to that, he was with leading financial services firms including MetLife, AXA, and Colonial Bank.
Youhn joins ProEquities after a twenty plus year career in senior legal and compliance leadership positions. Having served as Chief Compliance Officer for Lincoln Financial Advisors Corporation, Lincoln Financial Securities Corporation, and M Financial Group, Steve has direct relevant experience in the insurance and independent broker-dealer space that will enable him to make an immediate contribution to ProEquities. Steve started his legal career with the United States Securities & Commission in Washington, DC before transitioning to the Chicago Board Options Exchange, and most recently with the Vanguard Group in Malvern, PA.
