Patricia Davis

Compliance Associate

Patricia comes to NCS Regulatory Compliance after extensive experience at a dual mid-sized Broker Dealer/Investment Advisory firm where, among other things, she updated the policies and procedures of the firm and facilitated the successful completion of FINRA and SEC cycle exams.  Trish’s attention to detail and timeliness made her the foundation of the increasingly complex compliance, operations, and financial accounting programs.  As the firm expanded, Trish was able to maintain her prior duties in registration, licensing, and various obligations related to the health/life/variable insurance products offered while building out the compliance department.

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