Stephen Gilbert Rye

Northern Capital Securities Corporation

28 Years of Experience

1 DisclosureBroker

View SEC Summary

Areas of Practice

Investment Management

Northern Capital Securities Corporation

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

8 advisors

Number of Clients

Not specified

Average Client Portfolio

Not specified

Location

50 High Street, 4th Floor, North Andover, MA, 01845

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History

Regulatory History (1)

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Criminal

July 2024

Final Disposition

View Full SEC Report How to Read Disclosures

Employment History

Current Registrations

Northern Capital Securities Corporation

February 2017 - Present · 9 yrs

Northern Capital Securities Corporation

March 2009 - Present · 16 yrs 11 mos

Northern Capital Securities CorporationBroker

March 2009 - Present · 16 yrs 11 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.