Lisette Lopez serves as a Consultant with the Investment Adviser Services team. In this capacity, Ms. Lopez provides compliance consulting to investment adviser clients which may include providing advice and guidance on firm and individual registrations, firm policies and procedures, federal and state regulatory rule interpretations, and risk assessments. Prior to joining NCS Regulatory Compliance, Ms. Lopez was employed with vFinance Investments, Inc., a securities brokerage firm, where she was responsible for registration/compliance matters, due diligence, organizing the firm’s continuing education program, drafting written supervisory procedures, and submitting regulatory filings through the CRD\IARD System. Prior to joining vFinance Investments, Inc., she worked at Tradestation Securities where her duties consisted of processing and maintaining new accounts for clients. Ms. Lopez received her Bachelor in Arts from Florida Atlantic University where she majored in English and minored in Political Science.
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