National Compliance Services, Inc.

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.