Kelli A. Haugh serves as Vice President with NCS Regulatory Compliance. Ms. Haugh provides strategic and regulatory guidance to investment advisers pursuant to the Investment Advisers Act of 1940 and state securities laws, working with firms of diverse sizes and complexities. Ms. Haugh frequently participates in industry conferences and webinars, speaking on a variety of compliance topics related to investment advisers.
She holds an Accredited Investment Fiduciary® (AIF®) designation, a Certified Securities Compliance Professional® (CSCP®) designation, and has held the FINRA Series 65 exam. Ms. Haugh is also an attorney with Dew, Foxman & Haugh, PLLC, a law firm in Delray Beach, Florida concentrating on corporate and securities law.
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