Our Staff has compiled our research into a database of FINRA Broker Disclosures for Northern Capital Securities Corporation. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Stephen Gilbert Rye | 2127156 | 1 | 07/08/2024 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Adam Michael Alves | 2276605 | 2 | 03/18/2008 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Adam Michael Alves | 2276605 | 2 | 08/06/2007 | Civil | Final | $0.00 | $0.00 | See FINRA Report |