Our Team

The NCS Regulatory Compliance Team

Our team has more than 20 years of compliance experience. You can trust our staff of former regulators and compliance officers to deliver a full range of on- or off-site RIA and broker-dealer registration and compliance services.


Michelle Desmarais Administrative Assistant

Adam Dodge IT Systems Administrator

Kristen Hargreaves Operations Coordinator

Maureen Harms Junior Financial Analyst

Babette Martin Administrative Assistant

Derrick Mathews IT Director

Dawn Minton Senior Financial Analyst

Wendy McCarthy Executive Assistant