Northern Capital Securities Corporation

Broker-DealerFINRA MemberEst. 1996
Total AUM
—
Accounts
0
Employees
15
Advisory reps
17
Brokerage reps
14
Avg account
$0

Firm details

Headquarters
North Andover, Massachusetts
CRD number
40659
Registered since
July 1, 1996
Website
northerncapital.com
Fee structure
Percentage of AUM, Fixed Fees
Services
Portfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Northern Capital Securities Corporation is a privately owned corporation operating as a broker-dealer that also provides portfolio management services for businesses and institutions. The firm has been SEC-registered since 1996 and is owner-controlled rather than part of a larger network. Its client billing mixes percentage-of-AUM and fixed-fee arrangements. The firm is not identified as an active ESG investor, is not listed as a multi-state adviser, and does not self-identify as a capital allocator or pension consultant.

Assets & Accounts

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

2 of 2
  • Stephen Rye

    Stephen Rye

    President, Chief Investment OfficerCRD 2127156

  • David Oldaker

    David Oldaker

    Chief Executive OfficerCRD 2606043

Contacts

3 of 15
  • Manfred Beckmann

    Manfred Beckmann

    Head of Asset ManagementCRD 4021649

  • Robert Pickett

    Robert Pickett

    Managing DirectorCRD 6866721

  • James Tietze

    James Tietze

    Managing DirectorCRD 5438259

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

North Andover, MA

Essex

Location

North Andover, MA

Headquartered in North Andover, MA, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area
Boston-Worcester-Providence, MA-RI-NH-CT
Region
Northeast
County
Essex
Address
50 High St
Time zone
ET (UTC-5)
Office locations

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