National Compliance Consultants, Inc. Information

National Compliance Consultants, Inc. (NCCI) was established in 1987 to provide comprehensive securities industry compliance, registration and regulatory consulting services. NCCI was formed in response to the industry’s expressed need for an “Outsourced Compliance Department”—an accessible, experienced, reliable and professional compliance and regulatory information resource for Broker-Dealers and Registered Investment Advisers. NCCI has been engaged by clients in connection with projects for the Securities and Exchange Commission (SEC) and state jurisdictions as a qualified securities industry consultancy. NCCI maintains ongoing contact with the SEC, state securities administrators and all FINRA District Offices. Located in Chicago, Illinois and the Seattle, Washington area and serving domestic and international clientele, NCCI is a leading resource for Compliance and Registration Consulting, Broker-Dealer and Registered Investment Advisory services, as well as Buying/Selling Broker-Dealers or books of business.