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Anthony Brian Wolfe

Investment Adviser Representative at NBC SECURITIES, INC.

Birmingham, ALCRD #4014624Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
27 yrs
States Registered
1 states
Exams Passed
13

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Anthony Brian Wolfe has worked in the securities industry since 1999. They are registered to provide investment advisory services in Alabama.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Alabama
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 4/17/2008
Series 63
Uniform Securities Agent State Law Examination
Passed 10/15/1999
Series 52
Municipal Securities Representative Examination
Passed 9/25/2025
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/22/2000
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 10/15/1999
Series 14
Compliance Officer Examination
Passed 1/29/2025
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 4
Registered Options Principal Examination
Passed 1/25/2006
Series 53
Municipal Securities Principal Examination
Passed 6/24/2002
Series 24
General Securities Principal Examination
Passed 7/23/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

NBC Securities, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NBC SECURITIES, INC.Current
4/23/2008Birmingham, AL
AMSOUTH INVESTMENT SERVICES, INC.
7/18/200011/9/2005Birmingham, AL
FRANKLIN FINANCIAL SERVICES CORPORATION
10/18/19995/17/2000Houston, TX

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Anthony Brian Wolfe has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.