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    North Carolina Broker-Dealer Compliance

    North Carolina is a top-10 state for RIA growth. FIN Group provides fractional CCO services, Form BD filings, annual reviews, and exam support for Broker-Dealers operating here.

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    Who needs to register in North Carolina

    Any Broker-Dealer with a principal place of business in North Carolina, or with clients located in North Carolina above the de minimis threshold, must register with the North Carolina Secretary of State — Securities Division or — if eligible — with the SEC.

    North Carolina-specific nuance

    North Carolina charges a $200 RIA filing fee and requires a specific NC investment adviser supplement to Form ADV Part 2.

    Regulator: North Carolina Secretary of State — Securities Division

    Annual obligations for Broker-Dealers

    The core federal calendar that applies on top of North Carolina's requirements:

    • Maintain FINRA membership and Form BD currency
    • File quarterly FOCUS reports (Form X-17A-5)
    • Maintain Written Supervisory Procedures (WSPs) covering all business lines
    • Conduct annual Rule 3120 compliance testing and Rule 3130 CEO certification
    • Comply with Reg BI for all retail recommendations (Form CRS required)
    • Run AML program under FinCEN with annual independent testing

    How FIN Group helps North Carolina Broker-Dealers

    Fractional CCO

    A named, senior CCO who owns your Form BD filings, annual review, and exam response.

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    Compliance Calendar Software

    RegReview tracks every state, federal, and firm-level deadline with automatic reminders.

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    Marketing Compliance Review

    ADScanner reviews every piece of marketing for Rule 206(4)-1 / FINRA 2210 issues in seconds.

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    Investor Onboarding

    InvestPrep handles KYC, AML, and subscription documents end-to-end.

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    Broker-Dealer compliance in other states

    CaliforniaNew YorkTexasFloridaIllinoisMassachusettsPennsylvaniaNew JerseyColoradoWashingtonGeorgiaVirginiaArizonaNevadaOregonMichiganOhioMinnesotaConnecticutMarylandMissouriTennesseeUtahWisconsinIndiana

    Also exploring a different registration type? North Carolina RIA · North Carolina Private Fund

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