Judy Buswell joined the firm. in January 2002. Ms. Buswell is currently a Senior Registrations Associate with NCS Regulatory Compliance, where she is responsible for providing overall investment adviser compliance consulting to state and SEC registered firms, and managing day-to-day requirements and requests from the firm’s RIA Partners. Ms. Buswell also provides support to compliance consultants in delivering expert advice to investment advisers regarding SEC and/or state regulatory requirements and regulatory best practices.Prior to joining NCS Regulatory Compliance, Ms. Buswell worked as a legal assistant at a law firm. Ms. Buswell’s experience as a legal assistant has provided her with valuable skills that she utilizes in her role as Senior Registrations Associate.
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