Introduction
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 https://www.ncsonline.com/or call them at (561) 330-7645 to get more details.
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 https://www.ncsonline.com/or call them at (561) 330-7645 to get more details.
Contact Info
Address:
355 NE 5th Ave., Suite 4
Delray Beach
Florida 33483
United States
Delray Beach
Florida 33483
United States
Tel:
(561) 330-7645
Fax:
(561) 330-7044
Website:
https://www.ncsonline.com
Hours of operation
| From | To | From | To | From | To | ||
|---|---|---|---|---|---|---|---|
| Monday | Open | ||||||
| Tuesday | Open | ||||||
| Wednesday | Open | ||||||
| Thursday | Open | ||||||
| Friday | Open | ||||||
| Saturday | Open | ||||||
| Sunday | Closed | ||||||
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