June 22, 2017 5:37 PM ET

Professional Services

Company Overview of National Compliance Services, Inc.

Company Overview

National Compliance Services, Inc. provides regulatory compliance consulting services and solutions for registered investment advisers (RIAs), broker-dealers (BDs), hedge funds, and other financial services clients. The company offers on- and off-site compliance consulting services, including RIA registration, Section 13 filings and other regulatory filings, BD membership applications, continuing membership applications, 3012 and AML audits, RIA and BD compliance review and compliance consulting, written compliance manual and code of ethics, representative registration assistance and background verifications, responses to regulatory deficiency letters, SEC or state examination preparation, a...

355 NE 5th Avenue

Suite 4

Delray Beach, FL 33483

United States

Founded in 1999





Key Executives for National Compliance Services, Inc.

Founder, Chief Executive Officer and President
Vice President of Client Services
Vice President of Investment Adviser Services
National Sales Manager
Vice President of Broker-Dealer Services
Compensation as of Fiscal Year 2016.

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Recent Private Companies Transactions

No transactions available in the past 12 months.

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