National Compliance Services, Inc.

General Information

Whether you need to register a new investment adviser or a broker-dealer; are a registered representative looking to transition to a fee-based platform; or are an established RIA or BD looking to outsource a portion of your compliance functions; selecting the right service provider is an important decision. National Compliance Services (NCS) offers hands-on and technology-powered solutions to help investment advisers and broker-dealers in today's complex and fast-paced business environment mitigate risks. They empower financial firms to meet today's rigorous compliance obligations. At NCS, the services and capabilities include: * Investment adviser registration * Broker-dealer registration * RIA compliance consulting * Broker-dealer compliance consulting * Breakaway broker transitions * Hedge fund, mutual fund and private equity fund assistance * Monthly online compliance checklists and webinars for policies and procedures audit Visit or call them at (561) 330-7645 to get more details.
Owner Name: 
National Compliance Services, Inc.

Contact Information

Street 1: 
355 NE 5th Ave., Suite 4
Delray Beach
United States of America
United States
Post Code: 
(561) 330-7645

Online Information & Category

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