Kerry Rider

    Kerry Rider

    Managing Director BA, University of California, Los Angeles (UCLA) Ms. Rider joined NCS Regulatory Compliance in 2018 and has more than 25 years experience in broker/dealer and investment adviser compliance. Prior to joining NCS, Ms. Rider ran her own successful consulting firm for nearly 20 years. She specializes in providing creative, business-friendly solutions to complex regulatory matters. Ms. Rider has also served as Chief Compliance Officer for a large, retail broker/dealer and investment adviser, Chief Compliance Officer for a wholesale broker/dealer, and Chief Compliance Officer for a regional investment advisory firm. Ms. Rider holds FINRA Series 7 and 24 registrations.

    Recent Posts

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    Risk Alert - Form CRS and SEC Examinations

    On April 7, 2020, the Securities and Exchange Commission (“SEC”) Office of Compliance Inspectionsfalse
    Gavel-money

    broker dealer

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    Broker-Dealer/Investment Advisor Fined $100,000 for Failing To Protect Private Client Information

    The Massachusetts Securities Division recently issued a consent order accepting an offer offalse

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    SEC Issues Risk Alert Regarding Privacy of Nonpublic Customer Information

    On April 16, 2019, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued afalse

    Risk Alert - Form CRS and SEC Examinations

    Kerry Rider | Apr 13, 2020 8:08:19 AM

    Broker-Dealer/Investment Advisor Fined $100,000 for Failing To Protect Private Client Information

    Kerry Rider | May 6, 2019 3:09:55 PM

    SEC Issues Risk Alert Regarding Privacy of Nonpublic Customer Information

    Kerry Rider | Apr 18, 2019 2:59:13 PM

    This article is not a solicitation of any investment product or service to any person or entity.
    The content contained in this article is for informational use only and is not intended to be and is not a substitute for professional financial, tax or legal advice.