Jervis B. Hough, MS - Founder
1.800.388.8822 (Ext. 120)
E-mail:

Mr. Hough is a veteran regulatory consultant who has provided guidance to firms engaged in all areas of capital markets including brokerage, investment advisory, off-exchange foreign currency, and pooled investment vehicles (e.g. hedge funds, venture capital funds, and private equity).

His experience includes President of Capital and Credit International, Inc., Consultant with Capital Markets Compliance, LLC (CMC), Assistant Vice President for Banc of America Investment Services, Inc, and Compliance Examiner for FINRA (fka NASD). He has extensively focused on MSRB, NASD, and SEC rules and regulations; Regulation D private placements; P.I.P.E. offerings; Tenants-in-Common/1031, and direct participation programs.

Mr. Hough is a graduate of Clemson University where he earned a BS in Economics, with a concentration on Option Law, and a M.S. in Applied Economics with a concentration in Finance and Real Estate. Mr. Hough maintains the following FINRA licenses: General Securities Representative (Series 7), General Securities Principal (Series 24), and Uniform Securities Agent State Law Examination (Series 63).


Daniel C. Rome Esq. - General Counsel
1.800.388.8822 (Ext. 125)
E-mail:

Mr. Rome is an attorney with more than 14 years of practical experience in securities compliance, marketing, policy, risk management and litigation. He has provided services to the following industries: Mutual Funds, Insurance, Broker/Dealers, Investment Advisors, and Market Makers and is experienced in communicating and creating an understanding of complex compliance and legal issues.

Mr. Rome’s most recent professional experience was as an attorney with the law firm of Motley Rice LLC in Charleston, South Carolina where he was part of the securities litigation practice group. Mr. Rome’s legal and compliance knowledge is complimented by a practical understanding of the sales oriented nature of the financial services industry. Prior to joining Motley Rice LLC, Mr. Rome served as the Compliance Manager for Automated Trading Desk (ATD), a cutting-edge technology firm specializing in the trading of equity securities, and a Vice President at Banc of America Investment Services, Inc. He also has experience monitoring, designing and implementing anti-money laundering controls.

Mr. Rome is a graduate of West Chester University where he earned a BA in Psychology and a graduate of Widener Law School where he earned his Juris Doctorate. In addition, Mr. Rome is a Certified Six-Sigma Green Belt with DFSS, a FINRA Arbitrator and a member of the AML Strategic Leadership Group. He maintains the following FINRA licenses: General Securities Representative (Series 7), General Securities Principal (Series 24), Uniform Combined State Law Exam (Series 66), Equity Trader Limited Representative (Series 55).


Jeffrey G. Klein, Esq., MBA – Consultant
1.800.388.8822 (Ext. 135)
E-Mail:

Mr. Klein is an attorney who has counseled companies on a variety of securities and business litigation-related issues, including insider trading, fiduciary duties of officers and directors, SEC and NASD inquiries and filing requirements as well as avoiding and managing securities litigation. He has also provided counsel in the areas of financing and securities, including venture capital, credit, debt, mergers and acquisitions, private placements, public offerings, venture fund formation, corporate governance, taxes and real property.

Mr. Klein is a graduate of Boston University where he earned his BA and a graduate of the University of Pittsburgh where he earned his Juris Doctorate and Masters in Business Administration.


Jay Weisburg, CPA, MBA – Consultant
1.800.388.8822 (Ext.160)
E-Mail:

Mr. Weisburg has extensive experience conducting audits and working with broker/dealers to prepare for audit reviews. He published an article on "Some Uses of the Computer for a Financial Planner" in the Financial Strategist Journal which discusses specific advice for broker/dealers on the best utilization of technology.

Mr. Weisburg has served as an Adjunct Professor of Introductory Finance at Florida International University and as an instructor of Introductory Accounting at the American Institute of Banking. He has also lectured to community groups on tax and estate planning. Mr. Weisburg is a graduate of Penn State University where he earned his BS in Accounting and a graduate of Florida International University where he earned his Masters of Business Administration.


Heather K. Rome – International Associate
1.800.388.8822 (Ext.165)
E-Mail:

Ms. Rome has eight (8) years experience as a Certified International Project Manager with complementary marketing and process skills. She has international management experience in four continents and thirty countries in the area of budgeting, auditing, operations, contract negotiation, and personnel management. She is fluent in Spanish.

Ms. Rome is a graduate of Mary Washington University where she earned a B.A. in International Affairs and a B.A. in Sociology. She is currently completing a Master of Business Administration from Indiana University, Kelley School of Business and a MS Global Management, Thunderbird School of Global Management.


Strategic Relationships: Management Advisors International, Inc. (MAI) Financial Services Group

Mary Sieck - President Financial Services
1.800.388.8822 (Ext. 180)
E-Mail: msieck@maisearch.com 

Mary Sieck, President of the Financial Services Group for Management Advisors International is based out of the Lake Wylie, SC office, and has been with the firm for thirteen years. Mary has completed several Retained Searches for Chief Compliance Officers, Chief Operations Officers, General Counsels, Chief Financial Officers, Presidents, Attorneys, and other senior level executives in the Securities, Broker/Dealer, Investment Advisor, Insurance and Mutual Fund Industries nationwide.

In addition to Retained Executive Search, Mary has partnered with her client companies, also on a contingency basis helping to build sales supervision and compliance audit teams, throughout the United States. Mary's division places all levels of candidates in the above industries, including; Compliance Directors, Managers and Officers, Sales Managers, Operations Managers, Accountants, Attorneys, Anti-Money Laundering Specialists, and other financial services professionals.


Chad Champion – Vice President Financial Services
1.800.388.8822 (Ext. 195)
E-Mail: cchampion@maisearch.com 

Chad Champion is a Vice President for the Financial Services Group at Management Advisors International and is based out of Charlotte, NC. Chad joined Management Advisors International in January 2005. He focuses primarily on senior level compliance, legal, and finance assignments in the financial services industry. He has successfully completed placements for Chief Compliance Officers, Assistant General Counsels, Investment Advisor Compliance Directors, a Director of Alternative Investments, an Anti-Money Laundering (AML) Audit Director, and many other financial services professionals.

Chad spent over 12 years in the securities industry before starting his recruiting career. Prior to starting with Management Advisors International, he served as Vice President & Senior Compliance Officer for Wachovia Securities. Prior to Wachovia, he played a primary role in a start-up broker/dealer, NBC Securities, Inc., Birmingham, Alabama, serving the firm's Compliance Director. Prior to NBC, he served as a Regulatory Reporting Officer for Sterne, Agee & Leech.