SOLUTIONS | Independent Broker-Dealers
Independent Broker-Dealer Solutions

The basic rationale for outsourcing centers around reduced operational costs. For independent broker-dealers, outsourcing can do more than just lower expenses. Outsourcing can improve execution quality, establish operational efficiencies, and provide access to new powerful resources that increase scalability, and strengthen your competitive position in the market.

Northern Capital customizes its services to meet your independent broker-dealer’s specific needs. We have been providing competitive trade execution to institutional investors for more than 25 years, but our service offering goes well beyond access to the institutional fixed income market.

Our seasoned staff has experience trading through various economic cycles and during periods of peak market volatility. Supported by our innovative market aggregation technologies, we source bonds and liquidity from a broad composite market, where access and pricing efficiencies are maximized.

To simplify your operations, Northern Capital has developed straight-through-processing technologies that streamline and simplify your organization’s post-trade reporting and middle-office functions.

  • Experienced full-service trade desk supported by leading, proprietary technologies
  • Extensive access to the broad aggregate market via direct feeds to ECNs and ATS markets
  • Straight-Through-Processing integrations with your clearing firms
  • Automated rules-based supervisory and compliance constraints
  • Price and mark-up/down transparency reporting with strict mark-up adherence
  • Desktop application for real-time trade surveillance
  • Workflow integration and personalized support for your operations team
  • Private lable portfolio reporting includes custom offering indictions, portfolio proposals, portfolio analysis reports, strategic rebalancing, cash flows, sector analysis, tax-loss harvesting, horizon analysis and more.
  • Our interaction with you is personalized. Our team of experienced, multi-disciplinary specialists are accessible and accountable.

Northern Capital works behind the scenes to strengthen and support your investment process and streamline your operations. We help you attract and recruit top talent, build your brand and your position in the marketplace as industry experts.

William D. Harwood
SOLUTIONS | Outsourced Fixed Income Solutions

Straight-Through-Processing can help minimize compliance issues and trade errors that are associated with manual processes. STP can also help to shorten processing cycles, reduce settlement risk, and lower operating costs.

To schedule a call with a member of our senior staff, please use the calendar tool to select a time convenient for you to speak.

Want to speak with someone now?
Call us at +1 (978) 289-1000.

We offer a broad range of cost-effective fixed income solutions designed to meet the diverse needs of our clients. To receive literature relevant to your specific needs, follow the link below to learn more.

Our custom bond offerings combine the power of our inventory aggregation and selection metrics technologies to deliver automated daily bond offering indications via email that precisely match client investment criteria and are filtered for optimal pricing.