Providing Professional and Experienced

Compliance Consulting to Broker/Dealers & Registered Investment Advisers

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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.

Broker/Dealer Services

AML Audits

Branch Office Audits

3120/3130 and 206(4)-7 Certifications

Written Supervisory Procedures

New Membership Applications for Starting a Broker/Dealer/Changes in Membership Applications

Buy or Sell a Broker/Dealer


Registration and Licensing (CRD)

FINOP Services

Heightened Supervisory Plans

Startup Registered Investment Advisers

Form ADV, Part 2B Questionnaires

Regulation Best Interest

Municipal Underwritings/Municipal Advisory

Investment Advisory Services

RIA Startup

Licensing and Registration

Form ADV/2Bs

Annual Compliance Reviews

Expert Witness Analysis

Succession Planning/Recovery Plans


Written Supervisory Procedures

Risk Assessment

Inventory of Risks

Regulation Best Interest


With over 22 years of compliance experience, our staff is well versed in broker/dealer and investment advisory compliance.

Northpoint Consulting has helped Firms build and implement processes and procedures to enhance their compliance and supervisory programs. Our staff has served in various roles at Firms such as CCO, FINOP, Options Principal, Municipal Principal, General Securities Principal and Investment Banking Principal. We understand the importance of serving in these roles and know how to train Firms how to perform trading reviews, surveillance, and help detect sales practice patterns related to general securities and firm activities (equities, bonds, municipals, options, private placements, complex products, prepaid advisory fees, billing etc.). We are experts in trade reporting (MSRB, CAT & TRACE) and can help your Firm with your trade reporting responsibilities. We also provide expertise regarding new product due diligence, mergers and acquisitions, private placements and underwritings.

Get In Touch

If you are interested in our services or how we can help your Firm, please contact us at

404 213 6863
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