NBC Securities is a full-service broker-dealer and registered investment advisor catering to individuals and companies across the United States. They provide private wealth services and asset management strategies from financial consultants who average over 25 years of industry experience, in addition to technology-driven custodial solutions that streamline and optimize operations for advisors nationwide.

Independent and employee-owned, NBC Securities is committed to building lasting relationships and legacies. The firm achieves this through the combined power of our network of advisors, sophisticated suite of business services, and in-house portfolio products and research that spans equities, fixed income, mutual funds, SMA’s, annuities, and life insurance. NBC Securities also specializes in providing financial services to independent brokers, independent investment advisors and financial service programs for community banks.

With private ownership, NBC Securities advisors enjoy a boutique experience while also leveraging the financial strength and security of RBC Clearing and Custody, a division of RBC Capital Markets, LLC and one of the largest clearing and custody firms in the nation, enabling the firm to provide the highest level of service to its clients. 

NBC Securities manages or advises approximately $5 billion in assets with an operating footprint that spans the US with corporate headquarters is located in Birmingham, Alabama and offices in Alabama,  Florida, Iowa, Maryland, Minnesota, Missouri, New Jersey, New York, Ohio, Tennessee, and Texas.

Banking

Investment Management

NBC Securities, Inc.

Bradford Phelan

Rich Martin

David E. Hope

Doug Elder

Frank Falkenburg

Scott Wilkins

John Doody

The Trading and Compliance team at NBC Securities, Inc. is responsible for executing trades across various asset classes while ensuring adherence to regulatory standards and internal policies. This team collaborates closely to manage both equity and fixed income trading activities, oversee compliance protocols, and safeguard the integrity of trading operations, thereby enhancing the firm’s reputation and operational efficiency in serving its clients.

Trading and Compliance

Leadership Team

Sales and Client Support

Trading and Compliance

About

Team members

Other teams at NBC Securities, Inc.

Leadership Team

Sales and Client Support