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Brad Ackerman2018-08-15T17:07:09+00:00

Brad Ackerman - CCO - Swan Global Investments

Con­tact Brad Ack­er­man at x 207

Brad Ackerman

Chief Com­pli­ance Offi­cer

Brad is respon­si­ble for the devel­op­ment and over­sight of all aspects of the Com­pli­ance pro­gram at Swan, with a focus on risk man­age­ment, sales/marketing mate­ri­als, code of ethics, process review and improve­ment, and peri­od­ic fil­ings cer­ti­fi­ca­tions and ques­tion­naires.

He brings over 23 years of finan­cial ser­vices expe­ri­ence to Swan, most recent­ly with Transamer­i­ca Finan­cial Advi­sors as Vice Pres­i­dent and Chief Com­pli­ance Offi­cer for the firm’s advi­so­ry busi­ness. Pri­or to this, he was Deputy Chief Com­pli­ance Offi­cer for the Transamer­i­ca Funds, where he also served as Chief AML Offi­cer and Chief Infor­ma­tion Secu­ri­ty Offi­cer, and he also spent 5 years at Rydex Invest­ments as Direc­tor of Insti­tu­tion­al Ser­vices. Addi­tion­al­ly, he served in var­i­ous man­age­ment roles at Franklin Tem­ple­ton Invest­ments for 6 years.

Brad is a grad­u­ate of Flori­da State Uni­ver­si­ty with a B.S. in Polit­i­cal Sci­ence, and was a mem­ber of the school’s Entre­pre­neur­ship and Small Busi­ness Man­age­ment Pro­gram.