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Stephen Gilbert Rye

Northern Capital Securities Corporation

North Andover, MA

Austin, TX

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Current Employers
Northern Capital Securities Corporation

50 High Street 4Th Floor, North Andover, MA 01845 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2017-02-06
  • MA RA
    APPROVED
    Since 2017-02-06

Branch Locations

50 High Street 4Th Floor, North Andover, MA 01845 • UNITED STATES

Austin, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northern Capital Securities Corp Andover MA 03/2009 Present
  • 03/2009 → Present
    Northern Capital Securities Corp
    Andover, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-06
S63 Uniform Securities Agent State Law Examination 2009-04-03
  • S65 Uniform Investment Adviser Law Examination
    2016-12-06
  • S63 Uniform Securities Agent State Law Examination
    2009-04-03

View on SEC IAPD

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