A digital broker-dealer built for speed, scale & compliance
North Capital Private Securities is a technology-enabled broker-dealer registered in all 50 states. We support the full lifecycle of private securities offerings — from planning through close and reporting.
Built different from traditional broker-dealers
Licensing, registration, and deal review completed quickly. Compliance support every step of the way.
Defined timelines at every stage so you can plan your raise with confidence. No surprises, no bottlenecks.
All compliance supervisory personnel maintain FINRA Series 24 licenses. 110+ years of combined experience.
We've processed over 500,000 private-market transactions across 5,300 deals reviewed. Experts in Reg D 506(c) and 506(b).
Automated deal submission, rep supervision, ad approval, and investor onboarding. Tech-enabled workflows from end to end.
Flat-fee and percentage-based pricing available depending on your volume and needs.
From assessment to close
We learn about your business model, structure, and investor base — then guide you on the compliance requirements.
Compliance reviews offering materials, subscription documents, marketing, and investor flows.
Streamline investor verifications like KYC/AML, process payments, and deal closings via technology.
Ongoing oversight of investor communications, advertising reviews, and compliance checks.
Reconcile transactions, finalize recordkeeping, and provide post-close reporting and audit support.
Contact our broker-dealer team
Whether you're an issuer looking for a managing broker-dealer, an independent rep seeking sponsorship, or a platform needing compliance support — we're ready to help.