Investor Education & Responsibilities

For your convenience, most topics are available as a direct link or in .PDF format to either download and print or read directly on the internet at your leisure. PDF formatted files are a standard file format that can easily be read by PC and Mac users alike. If you have a newer computer, you should have the utility required to view these files it is called Acrobat Reader. However, if you do not have Acrobat reader, it is available free of charge directly from the Adobe website. Click here to get Adobe Acrobat Reader .


A note from the Northeast Compliance Department:

Our knowledgeable Compliance Department has over 50 years experience in the industry.  The department is responsible for establishing, maintaining and enforcing the policies and procedures of the firm.  Our Compliance team is available for any questions or concerns you may have.  Please feel free to contact them via e-mail: or by phone 516 396-1639.


Get EdUcated!

Investing should not be a mystery. As an educated investor YOU become a worthy partner in your future. As a member of the FINRA, Northeast Securities offers these quality educational links to all current and prospective investors.

  • NEW! Path to Investing
    This site is designed for investors who range from novice to those who have some investing experience. This site is your destination for objective investor education, essential resources, and expert insights. This educational Website is sponsored by the Foundation for Investor Education, a charitable, educational not-for-profit (501-c-3) organization dedicated to advocating investor education in the U.S.
  • Calculators, Tools and Games
    What are you putting away for your future? Too little? Too much? Not sure? Check this FINRA sponsored page.
    Before using these tools please be sure to read the Important legal information regarding the use of these calculators.
  • The Stock Market Game
    Consider this link an investment in our future investors! A workshop entitled Virtual Learning, Real Results Using The Stock Market Game(tm) is slated for the 83rd National Council for the Social Studies conference in Chicago on Saturday, November 15th. The objective of this session is to provide teachers with the tools needed to teach how the stock markets work and their role in our economy.
  • Investor Protection
    FINRA is a collective effort. Ensuring the US markets the safest and fairest in the world is a serious job.
  • Who is FINRA
    Northeast Securities, Inc. proudly states "Member FINRA". Find out why and what it means to you as an investor.


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