NBC SECURITIES, INC.
SEC RegisteredWe're not just financial advisors. We're legacy builders.
About the firm
NBC Securities is a privately held, full-service independent broker-dealer and registered investment advisor. The firm is employee-owned and committed to building relationships as it builds wealth and helps clients achieve their financial goals. Founded in 1995, NBC Securities manages or advises approximately $5 billion in assets with offices spanning the US.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
NBC Securities offers a comprehensive range of private wealth, asset management, and institutional solutions, including stocks, bonds, mutual funds, separately managed accounts, annuities, insurance, 401(k) plans, IRA and Roth IRAs, 401(k) rollovers, income solutions, investment management, and charitable giving. Services are delivered through a national network of independent financial professionals supported by proprietary investment strategies and technology-enabled infrastructure.
Who they serve
Individuals, companies, and independent financial advisors/advisory firms.
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 3,228 | $882M |
| High Net Worth Individuals | 280 | $696M |
| Investment Companies | 0 | — |
| Charitable Organizations | 12 | $21M |
| State/Municipal Entities | 21 | — |
50 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
72 advisors in the directory
Regulatory & compliance
Data as of March 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. NBC SECURITIES, INC. 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 the SEC or FINRA websites before making any decision.