Our Company: Overview

Northern Capital is a fixed income securities market specialist delivering market expertise and securities execution to middle market institutional investors.

Established in 1987, we have served institutional investors for more than two decades. We believe our position in the marketplace offers the perfect balance for maximizing opportunities for our mid-market institutional clients. We are large enough to have an established trading volume necessary to obtain highly competitive wholesale pricing, yet we are small enough that we remain one of a handful of dealers willing to bid and offer smaller positions of structured products as a matter of regular business practice. Our clients are not simply a distribution channel for our proprietary products; instead, our interests are aligned. Our size permits us to be agile, promotes creativity, loyalty and intimacy and contributes greatly to success.

Northern Capital Securities Corporation is a privately held, independent registered broker-dealer with the U.S. Securities and Exchange Commission (SEC), member of the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB), and the Securities Investors Protection Corporation (SIPC).

We have built our firm on a strong commitment to ethics and integrity. This has earned us the trust and confidence of our clients. We are proud of our compliance record and encourage interested parties to perform a background check on our firm and its registered representatives via FINRA Broker Check.