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Frank Benner Falkenburg

Investment Adviser Representative at NBC SECURITIES, INC.

Birmingham, ALCRD #204097Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
56 yrs
States Registered
30 states
Exams Passed
12

Registrations & licenses

Registration type
Dual-registered
Registered in 30 states
AlabamaCaliforniaColoradoDistrict of ColumbiaFloridaGeorgiaIllinoisIndianaIowaKansasKentuckyLouisianaMassachusettsMichiganMinnesotaMississippiMissouriNew JerseyNew MexicoNew YorkNorth CarolinaOhioOklahomaPennsylvaniaSouth CarolinaTennesseeTexasUtahVirginiaWisconsin
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 10/8/1993
Series 7
General Securities Representative Examination
Passed 1/2/2023
Series 72
Government Securities Representative Examination
Passed 1/2/2023
Series 57
Securities Trader Exam
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 55
Limited Representative-Equity Trader Exam
Passed 4/27/2000
NYSE Allied Member Examination
Passed 7/2/1985
PC
AMEX Put and Call Exam
Passed 8/23/1977
Series 24
General Securities Principal Examination
Passed 2/17/1965
Series 1
Registered Representative Examination
Passed 2/17/1965
Series 24
General Securities Principal Examination
Passed 1/24/2000
Series 24
General Securities Principal Examination
Passed 1/24/1970

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.

LANARK FINANCIAL, INC.Current
11/2/1995Birmingham, AL
STERNE, AGEE & LEACH, INC.
4/16/19819/11/1995Birmingham, AL
A. G. EDWARDS & SONS, INC.
2/10/19705/13/1981

Official records & sources

Data as of August 10, 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. Frank Benner Falkenburg 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.

Frank Benner Falkenburg - Financial Advisor in Birmingham, AL | AdvisorFinder