← Back to searchVisit website
NBC SECURITIES, INC.
CRD 17870 · SEC 801-58257
1927 FIRST AVENUE NORTH, BIRMINGHAM, AL, 35203, United States
Phone
800-521-9390
Fax
205-521-9399
Registration
Registered (APPROVED)
Source
SEC registered
Total AUM
$1.78B
Discretionary AUM
$795.1M
Team
68 total employees; 63 advisory reps; 50 broker-dealer reps
Clients
51-100
Fees
Percentage of AUM; Hourly charges; Fixed fees
Org form
Corporation
Filing date
2026-03-26
Disciplinary history
Yes
Services
Financial planningPortfolio management (individuals)Portfolio management (institutions)Pension consultingSelection of other advisersEducational seminars
Client types
| Type | Clients | AUM |
|---|---|---|
| Individuals | 3228 | $882.0M |
| High net worth individuals | 280 | $695.9M |
| Pension/profit sharing plans | 12 | $21.2M |
| Charitable organizations | 21 | $89.1M |
| Corporations/business entities | 35 | $96.5M |
States served
VT, AL, AK, AZ, AR, CA, CO, DE, DC, GA, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MT, NE, NV, NJ, NM, NY, NC, ND, OH, OK, OR, PA, PR, RI, SC, TN, UT, VA, WV, WI, WY, VI, MO, WA, TX, NH, HI, CT, FL, SD
All web addresses on file
Official SEC filing: View on IAPD