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NBC SECURITIES, INC.
BIRMINGHAM, AL
800-521-9390
SEC #801-58257Total AUM
$1.8B
Employees
68Clients
3,576Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
1927 FIRST AVENUE NORTH
BIRMINGHAM
AL 35203
United States
BIRMINGHAM
AL 35203
United States
Operating Hours
8:00 AM TO 5:00 PM
Monday - Friday
Monday - Friday
Phone
800-521-9390
Other Offices
28
Financials
Total AUM
$1.8B
Accounts
4,966Discretionary
$795.1M
Accounts
2,789Non-Discretionary
$989.7M
Accounts
2,177
Clients
Individual Clients
3,228AUM
$882M
HNW Individual Clients
280AUM
$695.9M
Pension/Profit Sharing Plan Clients
12AUM
$21.2M
Charitable Organization Clients
21AUM
$89.1M
Corporation or Business Clients
35AUM
$96.5M
Services
Services Offered
Advisor / Fund Manager SelectionEducationFinancial PlanningIndividual Portfolio ManagementInstitutional Portfolio ManagementPension Consulting
Compensation Types
Charges Fixed FeeCharges Hourly FeeCharges Percentage AUM
Compliance
Disclosures
Other Regulator Order (Past 10 Years)Other Regulator Violation FindingSEC/CFTC Order EntrySEC/CFTC Violation Finding
State Registrations
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVIVTWAWIWV
Affiliates
Affiliates
Reported 2 business affiliates.
Claimed Affiliates
Reported as an affiliate by 4 other businesses.