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

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Owners & executives

2 of 2

Stephen Rye
President, Chief Investment OfficerCRD 2127156
David Oldaker
Chief Executive OfficerCRD 2606043

Contacts

3 of 15

Riley McCord
Vice President, Portfolio ManagementCRD 6924099
Bruce Jordan
Managing DirectorCRD 1232099
Joseph Savoie
Managing DirectorCRD 2253985

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

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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