
For Partnerships, Private Funds, and Issuers
North Capital Private Securities (NCPS) is a registered broker dealer focused on the offering, transaction, and settlement of private and other exempt securities, such as offerings under Reg A+, Reg D, and Reg S. Issuers and professional intermediaries, such as funding platforms, may be required to have licensed representatives when conducting securities offerings. NCPS offers the ability to affiliate with our broker-dealer to hold licenses and provide compliance oversight of securities business conducted through the firm.
North Capital is highly experienced as a managing broker for Reg A+, Reg D, and Reg S offerings. Our team provides expertise in:
- Pre-offering Due Diligence
- SEC and FINRA Qualification
- Investor Vetting
- Advertising Review
- Subscription Escrow
- Payments and Settlement
- Custody
Our expertise, along with our transparent, API-enabled technology and procedures, provides fast and predictable turnaround times, which allows our clients to streamline their business processes and run their operations more efficiently.
Perform Investor Qualification
NCPS provides services to perform the necessary compliance checks that are required to accept an investor into a securities offering. These services include:
- Accredited Investor Verification
- Know Your Customer (KYC) Checks
- Anti Money Laundering (AML) Checks
- Investor Suitability Checks
- Transact Offerings