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Stephen Rye

Northern Capital Securities Corporation
29 Years of Experience
Austin, TX
1 DisclosureBroker
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Stephen Rye is a registered investment advisor at Northern Capital Securities Corporation, based in Austin, TX, with 29 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management.

Northern Capital Securities Corporation
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $2.0M0.75%
$2.0M - $5.0M0.50%
$5.0M - $10.0M0.45%
$10M+0.40%

Fees and services may be negotiated and may vary based on client type, service levels, portfolio complexity, number of accounts, account size, or other special circumstances.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Austin, TX

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History

Regulatory History (1)
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Criminal
July 2024
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Northern Capital Securities Corporation
February 2017 - Present · 9 yrs 8 mos
Northern Capital Securities Corporation
March 2009 - Present · 17 yrs 7 mos
Northern Capital Securities CorporationBroker
March 2009 - Present · 17 yrs 7 mos
Previous Registrations
Deutsche Bank Securities INC.Broker
May 2002 - July 2006 · 4 yrs 2 mos
Morgan Stanley & CO., IncorporatedBroker
September 2000 - May 2002 · 1 yr 8 mos
Langdon P. Cook Government Securities, IncorporatedBroker
October 1996 - February 1997 · 4 mos
Dean Witter Reynolds INC.Broker
April 1991 - October 1996 · 5 yrs 6 mos
State Registrations8 states
ARCACOFLMAMENYPA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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