# Financial Northeastern Securities

Financial Northeastern Securities is an Asset Manager based in Fairfield, United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** Fairfield, United States
- **Region:** North America
- **Address:** Parsippany, NJ, United States
- **Founded:** 1988
- **Assets under management:** Undisclosed
- **Website:** financialnortheastern.com

## Regulatory record

- **CRD number:** 17007
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/17007

## About

Financial Northeastern Securities, LLC is a state-registered investment adviser in Fairfield, NJ. It has 42 employees and 9 investment advisers. The firm is based in New Jersey.

## Sectors

- Fixed Income
- Private Credit
- Real Estate

## People

- William J. Uhl — President

## Questions

### What fixed-income products does the firm specialize in?

Core products include mortgage-backed securities, U.S. government agency debt, municipal bonds, and CRA-eligible MBS. The firm has a particular expertise in sourcing smaller-denomination mortgage pools and blocks that are difficult to locate through electronic trading platforms.

### Who makes the key strategic decisions at the firm?

William J. Uhl has led the firm as President since its founding in 1988. The firm is closely held, and operational decisions are concentrated among a small executive team operating from the Parsippany, New Jersey headquarters.

### Does Financial Northeastern manage discretionary portfolios or act purely as a broker?

The firm operates primarily as an introducing broker-dealer, executing transactions on behalf of institutional and private clients. It does not market itself as a registered investment adviser managing discretionary separate accounts, though it provides portfolio analytics and product recommendations to its institutional client base.

### How does the firm handle trade execution and custody?

Financial Northeastern executes fixed-income trades through its own trading desk and clears through a third-party correspondent clearing firm. Client securities are held at the clearing firm, which provides custody, settlement, and account statements independent of Financial Northeastern.

## Related profiles

- [FINANCIAL EDGE](https://altss.com/profile/financial-edge)
- [Financial Planning First](https://altss.com/profile/financial-planning-first-llc)

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Last updated: 2026-06-03T20:00:00.000Z

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