Testimonials

Read what our clients have to say about us:

A satisfied client is our greatest reward for a job well done. We believe that every client deserves a testimonial-worthy experience when partnering with our firm. Here are just some of the stories our clients have shared about the services they received:

As a client of Regulatory Compliance, now NCS Regulatory Compliance, we developed a strong partnership over the years.  Our service offerings have increased with the addition of the NCS-Connect compliance portal.  This dashboard and library stocks all critical compliance documents and calendars into one convenient place.  The system also easily enables us to conduct digital monthly testing.  We have been incredibly pleased with the wealth of knowledge and experience that the NCS Regulatory Compliance team offers, coupled with the sophisticated and user-friendly technology.  This combination allows our investment adviser firm to handle its compliance matters in the most efficient and effective manner.

-Wendy Johnson, CCO, Johnson Financial Group

We really appreciate all the help and expert guidance you and your team have provided. Your compliance services and web-based tools make registering and running our business so much easier, instead of feeling intimidated by all of it. So thank you very much!

-Peter Swann, CEO, Starr Financial Resources

I have never felt better about understanding the requirements of compliance and feeling like Lovett Advisors is doing things in proper order. I have never worried about ethics, but all the compliance details can be daunting. I have no one else to thank but you. Your expertise and service are outstanding.

– Kim Lovett, Managing Member/CCO, Lovett Advisors

Thank you for your help. This audit could have been challenging had it not been for the services that you provided. Your web site has also been most helpful along with the monthly check lists. The monthly check lists always bring things to my attention that need to be addressed.

– Wally Legg, Principal, W. V. Legg Financial Management LLC

I wanted to express my opinion of your firm and the result. I’m a highly satisfied customer. Having owned, built and managed both large and small business in the financial services world for 30 years, I know what it means to execute and get something done for a customer. Thank you!

– Chris Abely, Principal, CTMA Holdings LLC

Thank you; you provide a great service. Because of what you do, I can think more about making my clients money, and less about compliance details. As Purvis becomes an industry leader, you are a part of making that happen.

– Lon Purvis, President, Purvis Investments, Inc.

Thank you for all your hard work in helping us become registered as a BD. We appreciate how fast you’ve gotten everything completed, and all the work involved on your end.

– Michael Folker, Sales Desk, The Bowen Group

Free Consultations

Regulatory compliance is complex. Whether your firm is new to managing compliance requirements or you already have a strategy in place, NCS Regulatory Compliance can add value to your regulatory compliance plan. Let us prove it – request a free consultation, and we’ll show you how we can support to improve your registration and compliance needs. Ready to jump in? Begin your registration here.

Not the online form type?
Feel free to call (800) 800-3204 or email us at info@ncsregcomp.com.