Marc J. Hough

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CRD#: 4473215

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Marc Joseph Hough was a registered financial professional .

Marc is a previously registered financial professional and started their career in finance in 2002. Marc had worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

THE OBJECTIVE IS TO WORK ONE DAY/PER WEEKEND DURING THE HOLIDAYS TO ASSIST IN THE RADIO CITY X-MAS SPECTACULAR. RADIO CITY IS OWNED AND OPERATED BY THE MADISON SQUARE GARDEN CORP. THIS IS NOT INVESTMENT-RELATED AND THE HOURS OF EMPLOYMENT WILL STRICTLY BE RELEGATED TO WEEKENDS, THUS NO HOURS WOULD BE WORKED THERE DURING NORMAL TRADING HOURS. THE ADDRESS WOULD BE: 4 PENNSYLVANIA PLAZA, NEW YORK, NY 10001(THAT'S FOR PARENT CO OR MSG) OR RADIO CITY'S ADDRESS: 1260 AVENUE OF THE AMERICAS, NEW YORK, NY 10020. THE START DATE, IF HIRED WOULD BE 11/8/2014. THE APPROXIMATE AMOUNT OF HOURS WOULD BE 20-30 HOURS PER MONTH. THE POSITION WOULD BE FOR BOX OFFICE REPRESENTATIVE. I WOULD ASSIST IN TICKET SALES, EVENT PLANNING AND PROMOTION IN ADDITION TO RESERVATIONS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 24, 2014 - May 29, 2025

NEUBERGER BERMAN BD LLC

RIA

CRD#: 2908

NEW YORK, NY

Past

July 21, 2014 - May 29, 2025

NEUBERGER BERMAN BD LLC

CRD#: 2908

NEW YORK, NY

Past

October 11, 2012 - November 22, 2013

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

MELVILLE, NY

Past

July 18, 2005 - November 22, 2013

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

MELVILLE, NY

Past

November 17, 2003 - June 7, 2004

PUGLISI & CO.

CRD#: 19451

NEW YORK, NY

Past

May 15, 2003 - November 14, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

May 15, 2003 - November 14, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

May 23, 2002 - August 21, 2002

BENSON YORK GROUP, INC.

CRD#: 40231

MELVILLE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEUBERGER BERMAN BD LLC

NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC

CRD#: 2908 / SEC#: 801-3908, 8-1068

RIA

Registered Investment Advisory firm - SEC (1/26/1966 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/10/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/16/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/5/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/15/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/24/2008

General Securities Principal Examination

Current Firm

NEUBERGER BERMAN BD LLC

NEUBERGER & BERMAN | NEUBERGER BERMAN, LLC | NEUBERGER BERMAN LLC | NEUBERGER BERMAN BD LLC | NEUBERGER & BERMAN, LLC

CRD#: 2908 / SEC#: 801-3908, 8-1068

RIA

Registered Investment Advisory firm - SEC (1/26/1966 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1290 Avenue Of The Americas, New York, NY 10104

Mailing Address

1290 Avenue Of The Americas, New York, NY 10104

Phone number

(212) 476-9000

Established

Delaware since 11/01/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,058

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
NEUBERGER BERMAN INVESTMENT ADVISERS LLC	MEMBER	124687
AMATO, JOSEPH VINCENT	PRESIDENT, CHIEF EXECUTIVE OFFICER	2210305
CETRON, BRAD ELLIOT	CHIEF COMPLIANCE OFFICER	4040222
CHINNI, MICHAEL	CHIEF FINANCIAL OFFICER	5721816
HENTON, LORIN FRED	MANAGING DIRECTOR, BRANCH OFFICE MANAGER, TEXAS	3014463

Disclosures

Regulatory Event	20
Arbitration	5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Marc J. Hough

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEUBERGER BERMAN BD LLC

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

PUGLISI & CO.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

BENSON YORK GROUP, INC.

Primary Firm SEC Registration

NEUBERGER BERMAN BD LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/10/2012

Series 63

Date: 8/16/2002

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/5/2004

Series 7

Date: 5/15/2002

Series 24

Date: 8/24/2008

Current Firm

NEUBERGER BERMAN BD LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEUBERGER BERMAN BD LLC

TRUST BUT VERIFY

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