2001→2025
20+ yrs exp.

JERVIS B. HOUGH

Accomplished Broker Dealer Professional


“Operate with purpose, lead with empathy,
and deliver with excellence.”

01. ABOUT

I am a senior broker-dealer executive with 25 years of experience in diverse capacities, having served as Chief Executive Officer, Chief Operating Officer, and Chief Compliance Officer for multiple firms, as well as working extensively as a consultant and former regulator over the last 24 years. Throughout my career, I have encountered a broad range of operational and regulatory challenges and have made it a professional priority to develop clear, effective strategies to address them.

In addition to my corporate and consulting roles, I have served on nonprofit boards and a public company board. These engagements have reinforced my belief that leadership extends beyond the balance sheet, requiring a dedication to stewardship, ethical decision-making, and the betterment of the broader community. Currently based in Johns Creek, Georgia, I look forward to hearing from you.

02. EXPERIENCE

Blaylock Van, LLC • Atlanta & New York • 2018–Present

Chief Compliance Officer / Chief Operating Officer

  • Direct the firm’s national compliance program, surveillance, and trade oversight.
  • Architected and executed operational modernization across all revenue functions.
  • Served concurrently as COO and CCO with direct responsibility for underwriting mandates.
  • Lead public-sector finance officers through transaction structuring and disclosures.
  • Execute firm-wide modernization of supervisory systems aligned with SEC and FINRA rules.
  • Ensured operational excellence in trade reporting to support high-volume trading.
  • Contributed to strong corporate governance as a senior executive.
Taurus Compliance Consulting, LLC • Atlanta, GA • 2006–Present

Founder / Managing Member

  • Serve as fractional CCO/AML Officer for broker-dealers during high-risk events.
  • Consult on FINRA filings, policy design, and technology integration.
  • Enhance supervisory controls with tailored surveillance solutions.
  • Delivered audit and remediation services with corrective action plans.
IFS Securities, Inc. & IFS Advisory, Inc. • Atlanta, GA • 2014–2017

Chief Compliance Officer

  • Provided enterprise-wide risk oversight for all revenue-generating activities.
  • Aligned firm strategies with evolving FINRA, SEC, and MSRB requirements.
  • Led approval of Continuing Membership Application (CMA).
  • Supported firm growth from 75 to 160+ registered representatives.
  • Integrated new lines of business including hedge fund platform.
  • Directed compliance programs across multiple platforms.
Merrill Lynch • Charlotte, NC • 2004–2006

Senior Compliance Examiner / AVP Surveillance Officer

  • Directed risk-based surveillance for national brokerage operations.
  • Owned pre-launch compliance evaluation for new products and initiatives.
FINRA (NASD), District 7 • Atlanta, GA • 2001–2003

Compliance Examiner

  • Conducted full-scope audits of 40+ member firms.
  • Led investigations into reporting violations under TRACE, RTRS, and ACT protocols.

03. SKILLS

Regulatory Governance
Enterprise Risk Mitigation
Operational Leadership
Capital Markets Strategy
Strategic Risk Oversight
SEC Reporting Familiarity
FINRA/SEC Compliance
Board of Directors
Shareholder Engagement
Investor Relations
Non-Profit Boards
Employee Recruitment
Municipal Finance Engagement
Cross Functional Execution
New Market Development
Digital Innovation
Performance Management
Trade Reporting Protocols
Brand Activation
IPOs/Primary Markets
Surveillance & Supervision Systems

04. EDUCATION

Clemson University

M.S. in Applied Economics, Finance & Real Estate Concentration

Clemson University

B.S. in Economics, Law Option

Licenses & Certifications

Securities Industry Essentials Examination (SIE)

Series 7, 14, 24, 52, 53, 63, 79, 99

Licenses & Certifications

Certified Securities Compliance Professional® (NSCP)

05. IN THE MEDIA

Social Media

LinkedIn Profile
Video interview on the MSSI Alumni Interviews channel

featuring Jervis B. Hough offering career advice, emphasizing professional development and networking strategies.

Foundations and Non-Profits

NAAIA Foundation - Secretary Role

Overview of Jervis B. Hough’s role as Secretary of the NAAIA Foundation, emphasizing his regulatory background and leadership in financial services.

National Financial Educators Council - Community Champion

Profile highlighting Jervis B. Hough’s commitment to financial wellness campaigns in Georgia as a Community Champion for the National Financial Educators Council.

NAAIA Foundation - Additional Reference

Additional reference to Jervis B. Hough’s role as Secretary for the NAAIA Foundation, reinforcing his involvement in advancing financial industry inclusivity.

National Financial Educators Council - Advisory Board Member

Detailed biography of Jervis B. Hough’s contributions to financial literacy, including his qualifications, professional experience, and commitment to Georgia youth.

Marketscreener Profile

Financial profile summarizing Jervis Hough’s board memberships, including Progressive Care, Inc., and his role at Blaylock Van, LLC.

Bloomberg Profile

Professional overview of Jervis Bennett Hough’s role as COO and Chief Compliance Officer at Blaylock Van, LLC, with career history and board affiliations.

Justia Patents

Listing of patent applications filed by Jervis Bennett Hough, indicating innovative contributions outside his primary financial career.

Corporation Wiki

Corporate affiliations of Jervis B. Hough, including past management roles at NMS Capital Advisors, LLC.

Rotten Tomatoes

Filmography listing potential entertainment credits for Jervis B. Hough, though relevance to the financial professional is unconfirmed.

GlobeNewswire - Board Appointment

Press release announcing Jervis Hough’s appointment to the Progressive Care, Inc. Board of Directors in August 2017.

Blaylock Van, LLC

Blaylock Van Profile

Corporate profile of Jervis Hough at Blaylock Van, LLC, noting his role in investment banking and financial services.

Equilar Profile

Executive profile detailing Jervis Hough’s role at Blaylock Van and his network of business contacts.

Wiza Profile

Professional details as Chief Compliance Officer at Blaylock Van, LLC.

06. PUBLICATIONS

Coming Soon...

07. CONTACT

Email

contact@jervishough.com

Socials

LinkedIn

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