JA
Joseph Anderson
Chief Compliance Officer at North Capital
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Work Experience
Aug 2020 - Present · 4 years and 4 months
Chief Compliance Officer
Nov 2023 - Present · 1 years and 1 months
Managing Director, Compliance Officer
Aug 2020 - Nov 2023 · 3 years and 3 months
Independence Planning Group
Agency Control Officer
Nov 2010 - Jan 2020 · 9 years and 2 months
Company Details
11-50 Employees
North Capital group includes a financial technology company, registered broker-dealer, and registered investment advisor. We provide comprehensive solutions to transact private and exempt public securities, including tokenized securities, supporting issuers, funding platforms, and financial intermediaries. By offering broker-dealer services and regulatory technology North Capital streamlines the investor experience including automated Know Your Customer (KYC) and Anti-Money Laundering (AML), accreditation verification, suitability, and money movements. The North Capital team is experienced in providing regulatory support and facilitating escrow for a broad range of private offerings offered under Regulation D, Regulation A+, Regulation CF, and Regulation S. Our fee-only advisory practice focuses on providing discretionary and non-discretionary investment advisory services, as a fiduciary, to individuals, families, and institutional clients. Learn more by visiting our website at https://www.northcapital.com/.
Year Founded
2008
Social Media
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Industry
Financial Services
HQ Location
623 E Fort Union Blvd Suite 101 Salt Lake City, Utah 84047, US
Keywords
Accredited investorsPrivate placementsPrivate securitiesPrivate offeringsEscrowICO EscrowAccredited Investor VerificatioRegulatory TechnologyICO Broker DealerRegulatory Compliance
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