Lori Weston joined NCS Regulatory Compliance in March of 2012 and currently serves as a Vice President for the investment adviser services team. She handles the compliance consulting needs of the firm’s investment adviser clients, including registrations and examinations, SEC and state regulatory interpretations, and the provision of services through the firm’s PartnerProgram. In addition, she is also responsible for business development and serves as an investment adviser resource for conferences, webinars, newsletter articles and other firm-sponsored and third-party events and publications. She has over fifteen years’ experience in the financial services and securities industry working with investment advisers and broker-dealers. Prior to joining NCS Regulatory Compliance, Ms. Weston was employed by Lincoln Financial Group. During her tenure with Lincoln, she held numerous positions, working in the areas of advisory services and compliance. As a manager of RIA compliance, she was responsible for all compliance-related aspects of four corporate registered investment advisers with combined assets under management of over $8.5 billion, and also provided compliance consulting and support to over 60 independent SEC and state-registered RIAs. Her principal responsibilities included enacting and enforcing the policies of the corporate RIA. Ms. Weston graduated from the University of Maryland with a B.S in Accounting.
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