Are You A Pro? Join For Free

Matthew Gale

National Compliance Consultants, Inc.

Contact Information:

11109 NE 124th Lane, B106
Kirkland, WA 98034
United States
T: 425-968-2220
F: 425-968-2312

Years in Business:



Clients I'm Seeking:


I am seeking to work with individuals in the securities industry who own, operate, or wish to buy / sell a broker-dealer. Additionally, my company can assist individuals who own, operate or wish to register a state / SEC registered investment adviser.

About My Business:


National Compliance Consultants, Inc., with offices in Chicago, Illinois and Seattle, Washington, has been in business since 1987. Specializing in registration and compliance of broker-dealers and investment advisers, our staff works with firm owners, supervisory personnel and financial staff, as well as communicates with regulators, in order to, among other things, assist our clients in processing membership / registration applications, maintain compliance with state and federal laws and securities regulations, as well as prepare necessary regulatory documents and financial filings. Our client base consists of registered broker-dealers, banks and bank-dealers, and state / SEC registered investment advisers.

Years in business:
Member since:
Clients I'm looking for: