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Northern Lights Compliance Services, LLC Employee Directory

Financial ServicesNew York, United States0-1 Employees

Northern Lights Compliance Services, LLC operates in the financial services sector as an independent consulting provider that supplies chief compliance officers to investment entities such as mutual funds and registered investment advisers. The firm aims to help clients meet SEC regulatory requirements while offering a cost-effective alternative to hiring a full-time CCO, tailoring its program to small- to medium-sized groups. Based in Hauppauge, New York, NLCS emphasizes accuracy and integrity in handling compliance obligations so clients can focus on running their businesses. The company positions itself as a specialist support resource for organizations seeking specialized compliance leadership without the overhead of a permanent hire.

Find Northern Lights Compliance Services, LLC employees' phone numbers or email addresses

Northern Lights Compliance Services, LLC Global Highlights

Location
Employees

North America
8

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  • United States Of America
    8

Northern Lights Compliance Services, LLC's Leadership

  • Stylized image of a person
    W. K.
    Vice President, Senior Compliance Officer
    Mobile Phone
  • Stylized image of a person
    C. B.
    Compliance Officer
    Mobile Phone
  • Stylized image of a person
    M. W.
    Mobile Phone

Northern Lights Compliance Services, LLC Employee Metrics

100%
50%
0%
2026
2025
  • Banking
  • Finance
  • Legal
  • Community & Social Services
  • Accounting
  • Other

Contact profiles from Northern Lights Compliance Services, LLC

Name
Title
Contact
Location
Last Update
  • Stylized image of a person
    W. K.
    Vice President, Senior Compliance Officer
    Mobile Phone
    United StatesPennsylvania
    Dec 22, 2025
  • Stylized image of a person
    C. B.
    Compliance Officer
    Mobile Phone
    United StatesNebraska
    Jun 28, 2026
  • Stylized image of a person
    M. W.
    Mobile Phone
    UNITED STATES
    Mar 07, 2023

Frequently Asked Questions

What is Northern Lights Compliance Services, LLC known for?

Minus sign iconPlus sign iconNorthern Lights Compliance Services, LLC operates in the Financial Services industry; you can contact the main corporate office by phone at
+1-855-891-****
. Explore Northern Lights Compliance Services, LLC's company overview page for more information.

What is Northern Lights Compliance Services, LLC's most common email format?

Minus sign iconPlus sign iconNorthern Lights Compliance Services, LLC employees' email format typically follows the pattern of . Trying to find reliable and up-to-date employee contact data? Find more Northern Lights Compliance Services, LLC email formats with LeadIQ.

How many employees does Northern Lights Compliance Services, LLC have currently?

Minus sign iconPlus sign iconNorthern Lights Compliance Services, LLC has approximately 1 employees as of July 2026. These team members are located across 1 continents, including North America.

Who are Northern Lights Compliance Services, LLC's key employees and leadership?

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As of July 2026, Northern Lights Compliance Services, LLC's key employees include:

  • Vice President, Senior Compliance Officer: W. K.
  • Compliance Officer: C. B.
  • : M. W.

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