National Compliance Consultants

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411 S Sangamon St
Chicago, IL 60607

Founded in 1987, National Compliance Consultants Inc. (NCCI) is a Chicago-based firm that offers a comprehensive range of registration and compliance services to thousands of broker-dealers, investment advisers, and applicants. Their expertise includes broker-dealer applications, ongoing compliance with SEC and FINRA regulations, and a variety of services tailored to meet the needs of financial professionals.

NCCI's services extend beyond basic compliance, encompassing investment adviser applications, forensic testing, and the preparation of compliance manuals. The firm invites inquiries regarding any specific service needs not detailed in their offerings, reflecting their commitment to addressing the diverse requirements of their clients.

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1.01 reviews
Robert T.
11/22/2013

Words cannot describe how miserable of a person the owner is to work with and their utter failure to accomplish what the stated they were experts at. Their guidance was wrong and they seemingly...

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