National Compliance Consultants, Inc. Employee Directory

Business Consulting and ServicesWashington, United States2-10 Employees

National Compliance Consultants, Inc. (NCCI) provides securities industry compliance, registration, and regulatory consulting services, positioning itself as an outsourced compliance resource for broker-dealers and registered investment advisers. Founded in 1987, the firm offers guidance on regulatory information and related processes, supporting clients in meeting SEC and state securities requirements and maintaining ongoing liaison with SEC staff, state administrators, and FINRA offices. Based in the Seattle area, with operations that also reference Chicago, the company serves domestic and international clientele within the business consulting and services industry, focusing on compliance and registration needs as well as activities related to broker-dealer acquisitions or books of business. The organization emphasizes accessibility and professionalism as its core attributes, operating with a small team to provide specialized expertise in securities compliance. A recent development note: NCCI maintains active engagement with regulatory bodies, reflecting its role as a qualified securities industry consultancy for ongoing regulatory matters.

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