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AA

Adam M. Alves

NORTHERN CAPITAL SECURITIES
North Andover, MA 01845
Some features on this profile are disabled
CRD#: 2276605
AA

Professional summary

Adam Michael Alves is a registered financial professional currently at NORTHERN CAPITAL SECURITIES CORPORATION located in North Andover, Massachusetts.

Adam is registered as a RR (Registered Representative) and started their career in finance in 1992. Adam has worked at 10 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Michael Alves's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 3, 2019 - Present

NORTHERN CAPITAL SECURITIES CORPORATION

Office #1: 50 High Street 4th Floor, North Andover, MA 01845
RIA
BD
CRD#: 40659
North Andover, MA
Past

August 10, 2012 - November 9, 2018

NORTHERN CAPITAL SECURITIES CORPORATION

BD
CRD#: 40659
NORTH ANDOVER, MA
Past

October 14, 2008 - October 31, 2008

BRIGHT TRADING, LLC

BD
CRD#: 34702
HENDERSON, NV
Past

October 14, 2008 - January 5, 2012

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

October 16, 2007 - August 14, 2008

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
BELCHERTOWN, MA
Past

May 30, 2007 - October 17, 2007

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
BELCHERTOWN, MA
Past

March 1, 2007 - May 30, 2007

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

June 23, 2004 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

December 14, 2001 - July 16, 2004

HARVESTONS SECURITIES, INC.

BD
CRD#: 34509
GREENWOOD VILLAGE, CO
Past

September 14, 1994 - December 14, 2001

TDI, INCORPORATED

BD
CRD#: 30629
ENGLEWOOD, CO
Past

May 18, 1994 - October 5, 1994

GRANITE CAPITAL MANAGEMENT CORP.

BD
CRD#: 24589
LAGUNA BEACH, CA
Past

April 1, 1993 - June 8, 1994

LIBERTY CAPITAL MARKETS, INC.

BD
CRD#: 16534
Past

September 30, 1992 - December 7, 1992

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(4/30/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 10/19/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/29/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/9/1998
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/4/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NC
NORTHERN CAPITAL SECURITIES CORPORATION
NORTHERN CAPITAL SECURITIES CORPORATION | SCOTT, STARR SECURITIES, INC.

CRD#: 40659 / SEC#: , 8-49130

Massachusetts
Registered Investment Advisory firm - SEC (2/6/2017 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
50 High Street 4th Floor, North Andover, MA 01845
Mailing Address
50 High Street 4th Floor, North Andover, MA 01845
Phone number
(978) 289-1000
Established
Massachusetts since 02/16/1996
Firm type
Corporation
Fiscal year end
October
Firm Size
Small
# of Employees
15

FINRA licenses (25 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
OLDAKER, DAVID GRANTCHIEF EXECUTIVE OFFICER2606043
OLDAKER, DAVID GRANTCHIEF COMPLIANCE OFFICER2606043
RYE, STEPHEN GILBERTPRESIDENT2127156

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NORTHERN CAPITAL SECURITIES CORPORATION

CRD#: 40659North Andover, MA 01845

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