Stephen G. Rye
Professional summary
Stephen Gilbert Rye is a registered financial advisor currently at NORTHERN CAPITAL SECURITIES CORPORATION located in Austin, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Stephen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Gilbert Rye's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Gilbert Rye's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2017 - Present
NORTHERN CAPITAL SECURITIES CORPORATION
March 31, 2009 - Present
NORTHERN CAPITAL SECURITIES CORPORATION
May 15, 2002 - July 11, 2006
DEUTSCHE BANK SECURITIES INC.
September 19, 2000 - May 9, 2002
MORGAN STANLEY & CO. LLC
October 18, 1996 - February 4, 1997
LANGDON P. COOK GOVERNMENT SECURITIES, LLC
April 25, 1991 - October 21, 1996
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/29/2017)
(2/8/2011)
(9/7/2017)
(2/9/2011)
(2/8/2011)
(4/7/2009)
(2/6/2017)
(2/7/2011)
(2/8/2011)
Exams
FINRA
Current Firm
NORTHERN CAPITAL SECURITIES CORPORATION
CRD#: 40659 / SEC#: , 8-49130
Contact information
FINRA licenses (25 States and Territories)
Red Flags
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