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 an independent broker-dealer and registered representative platform that combines brokerage, insurance brokerage, and advisory services. The firm is a capital allocator that serves individual and family clients as well as institutional customers. Its advisory menu covers financial planning, portfolio management for individuals, small businesses and institutions, pension consulting, manager selection, and educational workshops. Compensation mixes percentage-of-AUM billing with hourly and fixed-fee arrangements. The firm is not identified as an active ESG investor. NBC Securities was SEC-registered in 2001 and operates under a domestic ownership structure. Its business model blends traditional broker-dealer distribution with advisory relationships and third-party manager selection, supporting both transactional and ongoing fiduciary-style engagements.