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2016-05-10T00:00:00.000Z

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Sandra Stevenson

Senior Consultant

National Regulatory Services Inc

Direct Phone: (860) ***-****       

Email: s***@***.com

National Regulatory Services Inc

323-A Main Street P.O. Box 71

Lakeville, Connecticut 06039

United States

Company Description

NRS provides program audit services for some of the nation's largest broker-dealers. We start with a dedicated account team, focused on your business, to help you plan and design a field audit program. Our powerful combination of people, ComplianceMAX Aud... more

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Background Information

Web References (16 Total References)


Sandra ...

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Sandra StevensonSenior ConsultantNRS


Sandra Stevenson - Senior ...

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Sandra Stevenson - Senior Consultant, Investment Adviser Services


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Sandra Stevenson

National Regulatory Services - Meet Our Professionals
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Sandra StevensonSenior Consultant, Investment Adviser Services
Sandra Stevenson joined the Investment Adviser Services department of NRS in February, 1999.In her role as a Senior Consultant, Sandra drafts customized Form ADVs and policy manuals for investment advisers.Sandra has worked with numerous dual registrants on the intricacies of wrap fee programs, fee in lieu of commission arrangements and other fee arrangements.Sandra works with investment advisory clients to effect their registration and assists with all their compliance needs.Sandra also conducts on-site compliance reviews of investment adviser firms.
Sandra is responsible for the creation and presentation of Desktop Seminars on various investment adviser compliance issues and is a speaker at NRS Conferences.
Sandra was instrumental in the initiation and development of "Compliance Alliance," an on-going NRS service which partners IA compliance personnel with NRS experts to provide subscribers with regulatory requirements and guidance on a timely basis.With her very detail-oriented work ethic, Sandra also focuses on researching various state regulations and tracking variances among regulations.
Prior to joining NRS, Sandra spent numerous years working in the high fashion industry, traveling extensively to Europe, and assisting with business development.


Sandra ...

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Sandra StevensonSenior Consultant, Investment Adviser Services


National Regulatory Services - Meet Our Professionals

www.nrs-inc.com [cached]

Sandra StevensonConsultant, Investment Adviser Services

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