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Stephen Rye
28 Years of Experience
1 DisclosureBroker
Stephen Rye is a registered investment advisor at Northern Capital Securities Corporation, based in Austin, TX, with 28 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
8 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $2.0M | 0.75% |
| $2.0M - $5.0M | 0.50% |
| $5.0M - $10.0M | 0.45% |
| $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
Get directionsHistory
Regulatory History (1)
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Criminal
July 2024Final Disposition
Employment History
Current Registrations
Northern Capital Securities Corporation
February 2017 - Present · 9 yrs 2 mos
Northern Capital Securities Corporation
March 2009 - Present · 17 yrs 1 mo
Northern Capital Securities CorporationBroker
March 2009 - Present · 17 yrs 1 mo
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.