Northern Capital Securities Corporation
State-registered
Broker-Dealer (Dually Registered) · Boutique (under $100M)
CRD 40659
· North Andover, MA
· www.linkedin.com
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ADV data as of Jan 07, 2026
- Regulatory AUM
- $0
- Discretionary
- $0
- Clients
- —
- Avg AUM / client
- —
- Accounts
- 0
- Employees
- 15
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Grant Oldaker | Registered representative | Feb 2017 (10y) | ||
| Stephen Gilbert Rye | Registered representative | Feb 2017 (10y) | ||
| Manfred Theodor Beckmann | Registered representative | Feb 2017 (10y) | ||
| Maurice Jason Kauff | Registered representative | Apr 2017 (9y) | ||
| Jason Daniel Stuck | Registered representative | CFA | Aug 2017 (9y) | |
| Robert Edward Pickett | Registered representative | CFA | Mar 2020 (6y) | |
| William David Harwood | Registered representative | Jul 2020 (6y) | ||
| Dylan Jacob Fernandez | Registered representative | Feb 2023 (3y) | ||
| James Albert Tietze | Registered representative | Mar 2026 (0y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/07/2026 | 1.06 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
This firm answered "yes" to a disciplinary item on its latest filing. Detailed disclosure pages for this filing have not been imported yet — see the source filing below.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Portfolio management for businesses/institutional clients
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 07, 2026.
View current Form ADV (SEC/IAPD) ↗