SR
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
8 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
This document does not contain any fee information. It is a brochure supplement providing information about the firm's executive management.
Areas of Practice
Investment Management
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Advisor Information
Office location
50 High Street, 4th Floor, North Andover, MA, 01845
Get directionsRegulatory History (1)
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Criminal
July 2024Final Disposition
Employment History
Current Registrations
Northern Capital Securities Corporation
February 2017 - Present · 8 yrs 11 mos
Northern Capital Securities Corporation
March 2009 - Present · 16 yrs 10 mos
Northern Capital Securities Corporation Broker
March 2009 - Present · 16 yrs 10 mos
Previous Registrations
Deutsche Bank Securities INC. Broker
May 2002 - July 2006 · 4 yrs 2 mos
Morgan Stanley & Co., IncorporatedBroker
September 2000 - May 2002 · 1 yr 8 mos
Langdon P. Cook Government Securities, IncorporatedBroker
October 1996 - February 1997 · 4 mos
Dean Witter Reynolds INC.Broker
April 1991 - October 1996 · 5 yrs 6 mos
State Registrations8 states
ARCACOFLMAMENYPA
AdvisorBrokerBoth
Exams
No exam information available for this advisor.