NBC SECURITIES, INC.
CRD #17870 SEC #801-58257 BIRMINGHAM, AL 800-521-9390
SEC Registered Broker-Dealer Disclosures
Total AUM
$1.7B
Discretionary
$955.6M
Employees
68
Clients
51
Accounts
4,545
AUM Over Time
| Date | Total AUM | Discretionary | Non-Disc. | Employees | Clients |
|---|---|---|---|---|---|
| Dec 2025 | $1.7B | $955.6M | $759.8M | 68 | 100 |
| Nov 2025 | $1.7B | $955.6M | $759.8M | 68 | 100 |
| Jan 2025 | $1.7B | $955.6M | $759.8M | 68 | 100 |
| Jun 2024 | $1.7B | $870.8M | $824.9M | 68 | 100 |
| Apr 2024 | $1.7B | $870.8M | $824.9M | 68 | 100 |
| Mar 2023 | $1.4B | $791.7M | $592.1M | 95 | 100 |
| Mar 2022 | $2B | $901.2M | $1.1B | 90 | 100 |
| Jan 2021 | $1.5B | $710.1M | $804.8M | 80 | 100 |
| Jun 2020 | $1.6B | $350.3M | $1.3B | 80 | 100 |
| Mar 2020 | $1.6B | $350.3M | $1.3B | 80 | 100 |
| Mar 2019 | $1.3B | $308.7M | $954.6M | 80 | 4,613 |
| Jan 2018 | $1.4B | $493M | $955M | 80 | 4,456 |
| May 2017 | $1.2B | $450M | $750M | 80 | 3,200 |
| Apr 2016 | $992M | $350M | $642M | 80 | 3,200 |
| Aug 2015 | $928.1M | $546.2M | $381.9M | 50 | 2,300 |
| Jun 2015 | $928.1M | $546.2M | $381.9M | 50 | 2,300 |
| Feb 2015 | $928.1M | $546.2M | $381.9M | 50 | 2,300 |
| Apr 2014 | $773.2M | $501.3M | $271.9M | 50 | 1,900 |
| Apr 2013 | $709.4M | $454.3M | $255.2M | 50 | 1,600 |
| Mar 2012 | $479.2M | $370.8M | $108.3M | 51 | 1,600 |
| Jan 2011 | $411M | $331.3M | $79.7M | 51 | -- |
| Aug 2010 | $759.8M | $279.2M | $480.5M | 51 | -- |
| Jan 2010 | $759.8M | $279.2M | $480.5M | 51 | -- |
| Apr 2009 | $735.4M | $360.3M | $375.1M | 51 | -- |
| Jan 2007 | $1.2B | $650M | $550M | 51 | -- |
| Jan 2007 | $1.2B | $650M | $550M | 51 | -- |
| Jan 2005 | $688M | $387M | $301M | 51 | -- |
| Jul 2004 | $638M | $356M | $282M | 51 | -- |
| Mar 2004 | $638M | $356M | $282M | 51 | -- |
| Oct 2001 | $150.8M | $13.7M | $137.2M | -- | -- |
| Oct 2001 | $150.8M | $13.7M | $137.2M | -- | -- |
| Jun 2001 | $150.8M | $13.7M | $137.2M | -- | -- |
| May 2001 | $150.8M | $13.7M | $137.2M | -- | -- |
DateDec 2025
Total AUM$1.7B
Discretionary$955.6M
Non-Disc.$759.8M
Employees68
Clients100
DateNov 2025
Total AUM$1.7B
Discretionary$955.6M
Non-Disc.$759.8M
Employees68
Clients100
DateJan 2025
Total AUM$1.7B
Discretionary$955.6M
Non-Disc.$759.8M
Employees68
Clients100
DateJun 2024
Total AUM$1.7B
Discretionary$870.8M
Non-Disc.$824.9M
Employees68
Clients100
DateApr 2024
Total AUM$1.7B
Discretionary$870.8M
Non-Disc.$824.9M
Employees68
Clients100
DateMar 2023
Total AUM$1.4B
Discretionary$791.7M
Non-Disc.$592.1M
Employees95
Clients100
DateMar 2022
Total AUM$2B
Discretionary$901.2M
Non-Disc.$1.1B
Employees90
Clients100
DateJan 2021
Total AUM$1.5B
Discretionary$710.1M
Non-Disc.$804.8M
Employees80
Clients100
DateJun 2020
Total AUM$1.6B
Discretionary$350.3M
Non-Disc.$1.3B
Employees80
Clients100
DateMar 2020
Total AUM$1.6B
Discretionary$350.3M
Non-Disc.$1.3B
Employees80
Clients100
DateMar 2019
Total AUM$1.3B
Discretionary$308.7M
Non-Disc.$954.6M
Employees80
Clients4,613
DateJan 2018
Total AUM$1.4B
Discretionary$493M
Non-Disc.$955M
Employees80
Clients4,456
DateMay 2017
Total AUM$1.2B
Discretionary$450M
Non-Disc.$750M
Employees80
Clients3,200
DateApr 2016
Total AUM$992M
Discretionary$350M
Non-Disc.$642M
Employees80
Clients3,200
DateAug 2015
Total AUM$928.1M
Discretionary$546.2M
Non-Disc.$381.9M
Employees50
Clients2,300
DateJun 2015
Total AUM$928.1M
Discretionary$546.2M
Non-Disc.$381.9M
Employees50
Clients2,300
DateFeb 2015
Total AUM$928.1M
Discretionary$546.2M
Non-Disc.$381.9M
Employees50
Clients2,300
DateApr 2014
Total AUM$773.2M
Discretionary$501.3M
Non-Disc.$271.9M
Employees50
Clients1,900
DateApr 2013
Total AUM$709.4M
Discretionary$454.3M
Non-Disc.$255.2M
Employees50
Clients1,600
DateMar 2012
Total AUM$479.2M
Discretionary$370.8M
Non-Disc.$108.3M
Employees51
Clients1,600
DateJan 2011
Total AUM$411M
Discretionary$331.3M
Non-Disc.$79.7M
Employees51
Clients--
DateAug 2010
Total AUM$759.8M
Discretionary$279.2M
Non-Disc.$480.5M
Employees51
Clients--
DateJan 2010
Total AUM$759.8M
Discretionary$279.2M
Non-Disc.$480.5M
Employees51
Clients--
DateApr 2009
Total AUM$735.4M
Discretionary$360.3M
Non-Disc.$375.1M
Employees51
Clients--
DateJan 2007
Total AUM$1.2B
Discretionary$650M
Non-Disc.$550M
Employees51
Clients--
DateJan 2007
Total AUM$1.2B
Discretionary$650M
Non-Disc.$550M
Employees51
Clients--
DateJan 2005
Total AUM$688M
Discretionary$387M
Non-Disc.$301M
Employees51
Clients--
DateJul 2004
Total AUM$638M
Discretionary$356M
Non-Disc.$282M
Employees51
Clients--
DateMar 2004
Total AUM$638M
Discretionary$356M
Non-Disc.$282M
Employees51
Clients--
DateOct 2001
Total AUM$150.8M
Discretionary$13.7M
Non-Disc.$137.2M
Employees--
Clients--
DateOct 2001
Total AUM$150.8M
Discretionary$13.7M
Non-Disc.$137.2M
Employees--
Clients--
DateJun 2001
Total AUM$150.8M
Discretionary$13.7M
Non-Disc.$137.2M
Employees--
Clients--
DateMay 2001
Total AUM$150.8M
Discretionary$13.7M
Non-Disc.$137.2M
Employees--
Clients--