NBC Securities, Inc.

Broker-DealerFINRA MemberEst. 2001

Total AUM

$1.8B

Discretionary

$795M

45% of AUM

Accounts

4,966

Employees

Advisory reps

Brokerage reps

Firm details

Headquarters: Birmingham, Alabama
CRD number: 17870
Registered since: January 3, 2001
Website: www.nbcsecurities.com
Custodians: RBC CAPITAL MARKETS, LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: Individuals49.42%
HNWI38.99%
Corporations / Businesses5.41%
Charitable Organizations4.99%
Pension & Profit Sharing Plans1.19%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

NBC Securities, Inc. is a corporate independent broker‑dealer that has been SEC‑registered since 2001. The firm operates as a broker‑dealer and insurance broker while also supporting registered representatives. Its client mix includes individual and family clients as well as institutional relationships. Advisory services noted in filings cover comprehensive financial planning, discretionary and non‑discretionary portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, manager selection, and educational seminars. The firm uses a mix of fee arrangements—percentage of AUM, hourly fees and fixed fees—and describes itself as a capital allocator that places client capital with third‑party managers. NBC Securities does not identify as an active ESG investor and is not listed as a multi‑state adviser in the source filing.