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
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).