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NCM Capital Management, LLC and its representatives may only transact business in a particular state after licensure or satisfying qualification requirements of that state are met, or if excluded or exempted by statute.

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1The Bergen County Top Financial Advisor rankings

The Bergen County Top Financial Advisor rankings are generated by Meridian-IQ and AdviceIQ. AdviceIQ collected data from financial advisors in the Bergen County area to create a top list on behalf of (201) Magazine and bergencounty.com.

There are three criterion used in these rankings: 1) the number of years that the financial advisor has been in business; 2) the number of individual client relationships; and 3) the advisor firm’s assets under management. All three criteria were given equal weighting in deciding the final order of the rankings.

The rankings were open to all types of advisors. It was advertised on bergencounty.com and participation was also encouraged via phone calls and by email to more than 1,500 advisors. Only retail firms were considered and eligibility was determined by geographical location in the Bergen County area.

AdviceIQ used the Regulatory Compliance Review, or RCR™ to perform due diligence on all the advisors who participated. The RCR™ audit involves first verifying that each advisor is indeed registered with a bona fide regulator. Then, a screen is then conducted with the following regulators for each advisor: Financial Industry Regulatory Authority (FINRA), U.S. Securities and Exchange Commission (SEC), each advisor’s home state Insurance Commissioner and State Investment Advisor Representative regulator. The RCR™ audit also checks to see if an advisor has any negative history with any of the above regulators. Note that there is precedent for advisors who have been banned by one regulator who reappear under another regulator. Only advisors with a clean regulatory history across all four regulators are included in these rankings.