Northeast Securities Co., Ltd.

Chinese regional brokerage offering trading, banking, and asset management

What Northeast Securities does

Northeast Securities is a Chinese securities firm based in Changchun that helps individuals and institutions buy and sell stocks, bonds, funds, futures, and options. It also advises companies on raising money — taking them public, issuing bonds, and handling mergers — and runs investment funds on behalf of clients. Alongside this, it lends money to investors against their shares and invests its own capital in markets.

How Northeast Securities makes money

It earns brokerage commissions and fees on client trading and asset allocation, underwriting and advisory fees from investment banking deals, and management fees on asset management and fund products. Additional income comes from interest on margin lending and stock pledge financing, plus gains on proprietary and alternative investments.

Products & services

• Securities brokerage and wealth management / asset allocation
• Investment banking: IPO sponsorship, bond underwriting, financial advisory
• Margin trading, securities lending, and stock pledge financing
• Asset management and Orient Fund (方正富邦/东方基金) products, plus private equity funds
• Research and consulting for funds, listed companies, and government clients
• FICC, OTC derivatives, New Third Board market making, and alternative investments