# Northern Capital Securities Corporation

> Northern Capital Securities Corporation is a state-registered investment advisory firm in North Andover, MA, registered since 2017, reporting under $25 million in regulatory assets under management in its Form ADV filing dated January 7, 2026.

- CRD: 40659
- Filed as: NORTHERN CAPITAL SECURITIES CORPORATION
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: North Andover, MA
- Filing period: October 2026
- Form ADV filing dated: January 7, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/40659
- AdvisorCensus page: https://advisorcensus.com/firm/northern-capital-securities-corporation-north-andover-ma-40659

## Quick answers

**How is Northern Capital Securities Corporation compensated?**
On its Form ADV (Item 5.E, October 2026), Northern Capital Securities Corporation reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Northern Capital Securities Corporation located?**
Northern Capital Securities Corporation's principal office is in North Andover, MA, according to its Form ADV.

**Is Northern Capital Securities Corporation registered with the SEC or a state?**
Northern Capital Securities Corporation is a state-registered investment advisory firm, registered since 2017. Status as filed: APPROVED. CRD 40659.

**How much does Northern Capital Securities Corporation manage?**
Northern Capital Securities Corporation reports $0 in regulatory assets under management in its Form ADV filing dated January 7, 2026.

**Does Northern Capital Securities Corporation report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.A(2) (felony charge in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/40659

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $0
- Discretionary: $0
- Non-discretionary: $0

### Advisory services (Item 5.G)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2017 (9 years)
- Employees: 15 total, 6 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: MA
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.A(2): In the past ten years, has the firm or an advisory affiliate been charged with a felony?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/40659

### Websites listed on Form ADV (Item 1.I)
- [northerncapital.com](https://northerncapital.com)
- LinkedIn @northern-capital-securities-corporation

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Northern Capital Securities Corporation (CRD 40659): Form ADV filing data as of October 2026.