Compliance

The Compliance Department at National Securities is comprised of experienced compliance professionals; many with significant sales and management backgrounds that allow them to work with the reps in an effective and mutually beneficial manner. Our understanding of the needs of the independent contractor model has been critical in supporting the Firm and its reps in navigating the myriad of rules and regulations affecting our industry. In addition to working closely with the registered reps, management and support personnel, members of the Compliance Department are involved in industry and regulatory committees and work closely with the SROs to keep abreast of change and maintain relationships that allow National to continue to thrive.

The Compliance Officers are located throughout the United States and are available to assist our reps prior to, during and long after the trading day is finished. Independent brokers often require specialized advice, support, and assistance. National has been especially fortunate in assembling a strong group of experienced, knowledgeable and dedicated professionals.