Verification Services

The Verification of Credentials is Critical to Your Compliance

NCS Regulatory Compliance currently verifies more than 45,000 RIAs and Investment Adviser Representatives annually. By selecting our qualified team to review and oversee your credentialing, you can better manage compliance risk and eliminate any gaps in essential credentialing. By guaranteeing the necessary due diligence in the monitoring and management of your staff’s credentials, you can better prevent a regulatory compliance concern.

Proper Designations Means Greater Success for Your Firm

Our team offers a full suite of verification services to ensure your staff and partners maintain the proper and current credentials, including firm registration and notice filing, adviser representative registrations, adviser representative reported disciplinary history, proper registration of solicitors, registration of wholesalers and third-party vendors, and criminal and credit background reports.

Support and Services for Your Verification Needs

Let the NCS Regulatory Compliance team help you verify the credentials of your complete team, from internal employees to external vendors and support staff. To learn more, contact us below.

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.