Fact Sheet

Profile:
National Ethics Bureau is a membership organization of background-checked financial professionals. All members have passed our comprehensive series of seven-year background checks and have agreed to maintain our standards for membership.

Mission:
The mission of the National Ethics Bureau™ (NEB) is to be a leading advocate for business ethics in the financial services industry. The NEB also maintains a membership community of background-checked advisors who have agreed to uphold its principles and membership standards.

Customers:
We serve two types of customers: consumers who want to check out the background of a financial professional and financial professionals who submit themselves to our background checks in order to fully disclose their backgrounds to their clients.

Sponsors:
Our sponsors are financial marketing organizations, insurance companies, investment-product firms, and real estate firms that wish to promote ethical business practices. All have agreed to allow the National Ethics Bureau to educate and motivate their advisors about the importance of doing business ethically.

Technology Partners:
Acxiom Information Security Services, a world leader in security information technology, conducts NEB’s criminal background checks. TransUnion, a global leader in information technology, conducts NEB’s civil background checks. Both of these entities provide written documentation of each completed background check, which is available to regulators upon request.

Company Management:
The National Ethics Bureau Management Team includes Steven R. McCarty, co-founder and Chairman, and Jeffrey S. Kopitz, co-founder and President. Both McCarty and Kopitz have an extensive background in financial services and a deep passion for transforming the industry’s ethical climate.