Northeast Securities Inc.

About Northeast

Northeast Securities, Inc., founded in 1989, has grown from a single office retail brokerage into a multi-line financial services firm serving both institutional and individual clients from several strategic office locations.
Our Operations, Compliance, Retail & Fixed Income Trading, and various Administrative Divisions operate from the firm's home office location in Mitchel Field, New York.

This location also houses another group of account managers who serve both retail and institutional customers. Chairman, Chief Executive Officer and founder, Steve Perrone working from the home office in Mitchel Field says, "Northeast has always been at the leading edge of technology to process our client's business accurately and efficiently." He adds, "the growth of our firm has been extraordinary and was achieved by always putting the interests of our clients first."
Operating from our 100 Wall Street in the heart of New York City's financial district, are divisions which specialize in Institutional Equity and Fixed Income Trading, Cash Management, Investment Banking and Asset Management.
Synergy among these various business lines is something that must be worked on every day. The result is a higher benefit for our clients. Institutional clients are particularly better served by our multi-disciplinary approach.

Relationships

The goals and priorities of both our individual and institutional clients are the focus of Northeast's highly experienced client representatives. Operating from our Wall Street, Mitchel Field, and branch office locations, these professionals augment their skills with all of the firm's resources to provide the best in financial solutions to our client's needs.

Clearing Relationships:
Northeast Securities, Inc provides services through it's current clearing relationships:

J.P. Morgan Clearing Corporation
Pershing - An affiliate of The Bank Of New York Mellon
Independent Investment Professionals:
If you made the decision to operate your brokerage business as an independent contractor - or if you are thinking about doing so - and if you always place your clients' interest first, then you may be a candidate to join our growing staff of independent brokers.

Located across the United States as well as Latin America, our independent brokers operate from their homes, single offices and offices common to more than one broker. Northeast's web-based technology makes it easy and efficient for independent brokers to successfully service their clients.
Our Mitchel Field office is the main support venue for our independent brokers. Operations, information technology support, trading, compliance, licensing and continuing education are among the professionally staffed supportive departments we maintain to ensure that Northeast independent brokers are able to provide the best and most appropriate financial advice and service to their clients.

If you have an interest in learning more about opportunities in independent brokerage at Northeast, contact:

Steve Perrone, C.E.O;
333 Earle Ovington Blvd.
Mitchel Field , NY 11553-3645
516.396.1619
steve@nesec.com

Private Client Group:
Our Private Client Group is staffed with experienced professional brokers who provide financial advice and service customized to the specific needs of their clients.

Our brokers are equipped with the latest technology; supported by one of our clearing relationships and their proprietary research; backed by their custody and margin lending services; and are consistently trained in the most current regulatory practices and procedures. The goal of our Private Client Group is exceptional client service. This is accomplished through careful consultation regarding each client's investment objectives and risk tolerance. Our advisors remain in constant communication with their clients to establish solid relationships that are never taken for granted. Keeping our client's trust is the result of close contact and an in-depth understandingwhat is best is for each client's specific investment objectives. To speak with one of our Advisors, simply call the main number at any of our branches. To learn how to join our professional brokerage staff, contact:

Steve Perrone, C.E.O;
100 Wall Street, 8th Floor,
New York, NY 10005
212.607.5400
steve@nesec.com
Piggyback Broker Dealers:

Many fully licensed FINRA broker/dealers have chosen to 'piggyback' on one of our clearing relationship with either J.P. Morgan Clearing Corp., and Pershing - An affiliate of The Bank Of New York Mellon. This decision is made on the basis of size, transaction activity or simply the business decision to have our professional staff interface with our clearing agent so the piggyback firm does not have to build and maintain this interface themselves.

Northeast services broker/dealers as piggybacks across the United States and in several countries world-wide.

To learn more about piggyback services at Northeast, you may contact one of our executive officers:
Steve Perrone, C.E.O at: 516.396.1619; steve@nesec.com
Dan Nicholas, C.O.O. 516.396.1690; dnicholas@nesec.com