Angela Clement joined NCS Regulatory Compliance in August 2018 and serves as a Registrations Associate with the investment adviser services team. Ms. Clement supports the compliance consulting needs of the firm’s investment adviser clients by interpreting and completing State and SEC form filings, registrations and exam requirements. Prior to joining NCS Regulatory Compliance, Ms. Clement worked as an Accounting Analyst and a Business Analyst at Lincoln Financial Group in Concord, NH. She has over twenty years of experience in the financial services industry including experience with reviewing representative’s affiliation requests with the broker-dealer, responding to state letters regarding disclosures and deficiencies and managing the FINRA annual renewal process for multiple broker dealers. She also hold the Series 6 & 26 licenses.
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