Lisa Sinnott

Compliance Associate

Ms. Sinnott spent 7 years with Putnam Investments as an Accounting/Reconciliation Specialist performing fund accounting on institutional funds. When Putnam consolidated this function over to State Street Corporation, Lisa continued in this role for another 5 years working on the daily pricing of several institutional funds (NAV) both domestic and international. In her role as CRD/IARD specialist, she supports the Broker/Dealer and Investment Adviser departments in filing U4’s, U5’s, and other FINRA documents on the WebCRD system.

Direct: (603) 216-8916 | Email: lsinnott@ncsregcomp.com