Tom Brough is a successful financial professional who has 20 years of experience. He is a registered investment advisor in Chicago, Illinois and the president of Brough Investment Advisors. This means that he is registered with the United States Securities and Exchange Commission (SEC). He has few limitations and is able to work with many clients. Many financial advisors choose to register with the SEC because it offers them a wide array of benefits.
The SEC is a federal agency in the United States government that plays an important role in the financial and investment industries. The SEC’s mission involves three different parts. The first is to protect investors. This agency enforces federal laws that involve securities and investments. In order to protect investors, this agency works to prevent companies and corporations from committing fraud.
The SEC also strives to maintain markets that are efficient, fair, and orderly. This agency proposes securities laws, and it regulates the securities industry. This agency requires public companies to submit quarterly and yearly reports, which are then made available to the public.
The SEC also regulates the stock and options exchanges in the United States. The third goal this agency works towards is to facilitate capital formation. Capital formation refers to the net capital that is accumulated during a set accounting period.
Tom Brough is an ambitious and successful professional, who graduated from DePaul University in 1993 with a degree in finance. Since then, he has worked hard to build his business and his career in Chicago.