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Sapna Garg Goel

Investment Adviser Representative at NBC SECURITIES, INC.

Huntsville, ALCRD #5178336Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
9 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 9 states
AlabamaCaliforniaColoradoGeorgiaIllinoisMichiganMissouriNew HampshireTennessee
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/25/2011
Series 63
Uniform Securities Agent State Law Examination
Passed 12/8/2006
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 11/2/2006

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
2/11/2011Huntsville, AL
STERNE AGEE FINANCIAL SERVICES, INC.
10/19/20097/19/2010Huntsville, AL
COLONIAL BROKERAGE, INC.
11/3/200610/16/2009Huntsville, AL

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. Sapna Garg Goel 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.

Sapna Garg Goel - Financial Advisor in Huntsville, AL | AdvisorFinder