Katie Libby joined the firm in February 2015 and serves as a supervisor with the investment adviser services team. Ms. Libby oversees the Compliance Associate team as it supports the compliance consulting needs of the firm’s investment adviser clients, including registrations and examinations, SEC and state regulatory interpretations, risk assessments and the provision of services through the firm’s PartnerProgram. Ms. Libby has over ten years’ experience in the financial services and securities industry working with broker-dealers and investment advisers.
Prior to joining NCS Regulatory Compliance, Ms. Libby was employed by The Cerato Group in Nashua, NH. During her tenure there, she served as the Registered Client Service Manager. In this role, she was responsible for all client service aspects of the firm as well as maintaining the offices policies and procedures, responding to annual risk assessments and maintaining various vendor relationships. Prior to The Cerato Group, she worked in the advisory services department at Lincoln Financial Group. There she engaged with a broad scope of investment advisers in supporting their access to the firm’s wrap fee and separate managed account platforms. Ms. Libby graduated from Southern New Hampshire University with an M.S. in International Business. Series 7, 24 and 66 licenses.
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