Aifa® Stephen B. Agricola

Stephen B. Agricola, AIFA®, has a diverse work experience spanning over several decades. Starting in 1983, they served as a Supply Corps Officer in the US Navy Reserve, where they received a direct commission and achieved the rank of Lieutenant before receiving an honorable discharge in 1985.

In 1984, Agricola joined AmSouth Bank N.A. as Vice President of Fixed Income Institutional Sales. Stephen B. played a key role in the company's operations, as it operated over 600 branches and had total assets of $38.6 billion before its merger with Regions Financial Corporation in 2006.

Agricola later became an Expert Witness and Damages Analyst at their own firm, Stephen B. Agricola & Associates, starting in 2001. In this role, they were hired by plaintiff attorneys to calculate market losses for disgruntled investors filing complaints against their registered representatives.

In 2004, Agricola became an Industry Arbitrator for the Financial Industry Regulatory Authority (FINRA), a non-governmental private corporation and self-regulatory organization that oversees the securities industry in the United States.

More recently, Agricola joined NBC Securities, Inc. in 1995 as a Financial Adviser before assuming the role of SVP/Compliance Officer in 2013. Stephen B.'sresponsibilities included conducting risk assessments, due diligence reviews, trade surveillance, and employee securities trading analysis.

Throughout their career, Agricola has demonstrated expertise in financial advising, compliance, forensic accounting, and institutional sales.

Stephen B. Agricola, AIFA®, completed their Bachelor of Science degree in Accounting at the University of Alabama from 1973 to 1977. Following this, they pursued a Master of Business Administration (MBA) in Business Finance, Statistics, and Management at Samford University, which they completed from 1980 to 1981.

In addition to their formal education, Agricola obtained several certifications throughout their career. In 1984, they acquired the Series 22 certification as a Direct Participation Programs Representative from the Financial Industry Regulatory Authority (FINRA). That same year, they also obtained the Series 52 certification as an MSRB Municipal Securities Representative from the Municipal Securities Rulemaking Board and the Series 63 certification as a Uniform Securities Agent State Law from FINRA.

In 1995, Agricola obtained the Series 7 certification as a General Securities Representative from FINRA. Two years later, in 1997, they became an Investment Adviser Representative (IAR) under the U.S. Securities and Exchange Commission.

In 2004, Agricola achieved the designation of Accredited Investment Fiduciary Analyst [AIFA] from the Center for Fiduciary Studies & fi360. In 2009, they obtained the Alabama Insurance License for Life, Health, and Annuity from the National Association of Insurance Commissioners (NAIC).

Lastly, in 2013, Agricola obtained the Series 24 certification as a General Securities Principal from FINRA.