NCCI was established in 1987 to respond to the needs, demands and expectations of our clientele within the securities and financial services industries. In particular, NCCI specializes in providing straightforward guidance and expertise in matters of compliance and registration to Broker-Dealers, Registered Investment Advisers, and other clientele who require an experienced and knowledgeable resource for reliable and informative securities advice and consultation.

Our services span a broad spectrum of critical practice areas. Despite this broad scope and the nature of our service offerings, NCCI provides our clientele vital and comprehensive insight into the minutiae of securities regulation, compliance, and registration.


Our Mission

  • To provide superior compliance and consultancy services for our Broker-Dealer and Registered Investment Advisory clientele.
  • To leverage the broad knowledge, expertise, and experience of our industry professionals and to reliably deliver meaningful results in meeting the specific needs and expectations of our clientele.
  • To provide clientele prompt access to NCCI professionals in order to facilitate an efficient, effective and timely response.
  • To guide, instruct, and educate our clientele in order to promote an environment that cultivates and values an informed and independent client.