Providing Professional and Experienced

Don’t Settle For Less

Our Consulting Services

Northpoint Regulatory & Compliance Consultants, LLC. is a compliance consulting company located in Suwanee, Georgia. We offer compliance consulting to Broker/Dealers and Registered Investment Advisers. With securities industry regulations constantly changing, it creates challenges for Firms to comply with them. In the world of compliance, it’s not what you know, but it’s what you don’t know. Regulators always try to find the gaps in a program, and we hope to help you close those gaps and have a successful program.

Northpoint Consulting has over 22 years of securities industry experience focused in compliance with the NYSE, NASDAQ, FINRA, MSRB and SEC regulation. We are securities professionals with governance, risk and compliance expertise and can help you start your own broker/dealer or investment adviser or provide you with the necessary tools and guidance to build a successful compliance program at your Firm. Our primary focus is to ensure that we are fully involved with our clients from day one and work with them step by step to help guide them in building a solid foundation. We offer a wide range of compliance services to help your firm establish, implement, and maintain an effective system for achieving compliance with the securities laws, rules, and regulations governing its business.