John Hough
About John Hough
John Hough is a Senior Manager at TD Ameritrade with a diverse background in financial compliance and a passion for music.
Current Role at TD Ameritrade
John Hough has been serving as Senior Manager at TD Ameritrade since 2021. Based in Omaha, Nebraska, John brings extensive experience and expertise to this role. His responsibilities likely encompass overseeing teams, ensuring compliance with industry regulations, and optimizing operational efficiencies within the company. His tenure at TD Ameritrade reflects a steady progression through various roles, showcasing a deep-seated knowledge of the financial services industry.
Career at TD Ameritrade
John Hough's career at TD Ameritrade spans multiple roles over several decades. Starting as a Trade Research Representative in 1998, he has held positions including Senior Representative, Electronic Brokerage; Options Principal; Senior Analyst, Compliance Communications Review; and Manager, Compliance Communications Review. This extensive career trajectory highlights his elevated understanding of compliance, trade operations, and brokerage services. Each role has allowed him to develop a comprehensive skill set crucial for senior management positions in the financial sector.
Educational Background
John Hough earned his Bachelor's degree in Banking and Financial Support Services from the University of Nebraska at Omaha. His educational journey extended from 1984 to 1997. This academic background provided a solid foundation for his subsequent career in the financial industry, equipping him with essential knowledge in banking and financial regulations. His studies have been complemented by practical experience gained through his various roles at TD Ameritrade.
Financial Licenses and Expertise
John Hough holds Series 7, 63, 24, 4, and 53 licenses. These certifications attest to his expertise in financial regulations and compliance, critical for his roles at TD Ameritrade. The Series 7 license permits him to engage in general securities trading, while the Series 63 license qualifies him to act as a securities agent. The Series 24, 4, and 53 licenses further emphasize his proficiency in supervisory roles within broker-dealer firms, compliance, and the management of municipal securities.
Transition from Grocery Retail to Financial Industry
Before joining TD Ameritrade, John Hough spent 10 years working as an Assistant Manager at Cub Foods from 1988 to 1998. This period in the grocery retail industry helped him develop essential managerial and customer service skills. His transition to the financial sector in 1998 marks a significant career shift, demonstrating his adaptability and drive to evolve professionally. This diverse background has undoubtedly contributed to his holistic approach in managing financial operations and compliance.
Musical Interests and Activities
In his free time, John Hough enjoys playing bass, mandolin, and guitar in a local rock band. This passion for music showcases his creative side and provides a balance to his professional life. Engaging in musical activities not only reflects his versatility but also highlights his ability to manage multiple interests and commitments effectively.