| Established
in
1987,
Northern
Capital
offers
fixed
income
securities
sales
and
trading,
investment
banking
and
advisory
services
to
mid-market
institutional
investors,
corporations,
financial
institutions
and
municipal
governments. The
firm
also
provides
individual
private
client
investment
services
through
its
Alliance
Program,
a
securities
brokerage
networking
program
offered
through
credit
unions,
accounting
firms,
law
firms
and
insurance
agencies.
Northern
Capital
Securities
Corporation
is
a
privately
held
registered
broker-dealer
with
the
U.S.
Securities
and
Exchange
Commission
(SEC),
member
of
the
National
Association
of
Securities
Dealers
(NASD),
the
Municipal
Securities
Rulemaking
Board
(MSRB),
and
the
Securities
Investors Protection
Corporation
(SIPC). The
firm
maintains
registered
insurance
producer
licensing
in
the
states
in
which
it
conducts
insurance
business.
Northern
Capital
is
a
registered
investment
adviser
pursuant
to
Section
203
of
the
Investment
Advisers
Act
of
1940,
in
the
states
that
it
conducts
investment
advisory
business.
Operating
in
a
highly
regulated
environment,
we
are
proud
of
our
compliance
record
and
encourage
interested
parties
to
perform
a
background
check
on
our
firm
and
its
registered
representatives
via
NASD
Broker
Check.
As
the
industry
continues
to
consolidate,
we
believe
the
trend
of
the
of
the
nation's
largest
securities
firms
will
continue
its
focus
on
the
high
margin
business
of
securities
underwriting
and
M&A
activities.
Additionally,
these
bulge
bracket
firms
will
continue
to
capture
securities
execution
market
share
among
the
largest
institutional
investors
through
their
deployment
of
highly
automated
electronic
trading
processes
and
order
routing
methodologies.
This
has
and
will
continue
to
result
in
a
substantial
reduction
in
the
number
of
institutional
sales
and
trading
staff
at
these
firms.
Since
1987,
Northern
Capital's
strategic
focus
has
been
on
serving
the
institutional
mid
market.
Overall,
this
market
segment
trades
with
less
frequency
and
in
smaller
block
or
odd
lot
transactions
and
typically
require
more
than
just
trade
execution.
They
value
the
trading
ideas,
opinions
and
objectivity
of
an
experienced
sales
and
trading
staff
and
reward
superior
service
and
support
with
loyalty.
Our
sales
and
trading
staff
are
true
generalists
with
broad
market
expertise.
Their
opinions
and
advice
are
valued
by
our
mid
market
clients.
With
our
highly
competitive
wholesale
fixed
income
pricing,
considerable
skills
and
experience
of
our
professional
trading
staff,
we
are
strategically
positioned
to
serve
the
institutional
mid
market.
|
Company
Information
