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WB

William L. Braude

NBC SECURITIES
Jacksonville, FL
Some features on this profile are disabled
CRD#: 1380052
WB

Professional summary

William Lincoln Braude, who also goes by Bill Braude, is a registered financial advisor currently at NBC SECURITIES, INC. located in Jacksonville, Florida.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. William has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bill Braude

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Lincoln Braude's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William Lincoln Braude's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 6, 2012 - Present

NBC SECURITIES, INC.

RIA
BD
CRD#: 17870
Jacksonville, FL
Current

July 2, 2012 - Present

NBC SECURITIES, INC.

Office #1: 18-22 Bank Street Suite 108, Summit, NJ 07901
RIA
BD
CRD#: 17870
SUMMIT, NJ
Past

July 7, 2006 - July 16, 2012

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
JACKSONVILLE, FL
Past

July 7, 2006 - July 16, 2012

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
JACKSONVILLE, FL
Past

March 8, 2006 - July 13, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
JACKSONVILLE, FL
Past

March 8, 2006 - July 13, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
JACKSONVILLE, FL
Past

January 21, 2005 - March 8, 2006

ADVEST, INC.

RIA
CRD#: 10
PONTE VEDRA BEACH, FL
Past

December 3, 2004 - March 8, 2006

ADVEST, INC.

BD
CRD#: 10
PONTE VEDRA BEACH, FL
Past

October 31, 2001 - December 17, 2004

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

September 28, 1999 - October 5, 2001

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 1, 1997 - October 4, 1999

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

April 4, 1996 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

November 14, 1991 - April 10, 1996

BARNETT INVESTMENTS, INC.

BD
CRD#: 14897
JACKSONVILLE, FL
Past

December 23, 1987 - November 22, 1991

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

March 16, 1987 - January 6, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

July 24, 1985 - March 20, 1987

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NS
NBC SECURITIES, INC.
NBC COMMERCE INVESTMENTS | POSEY, BENNERS & SELLERS, INC. | NBC SECURITIES, INC.

CRD#: 17870 / SEC#: 801-58257, 8-35870

RIA
Registered Investment Advisory firm - SEC (1/3/2001 Approved)
Alabama
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
California
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Colorado
Registered Investment Advisory firm - SEC (5/18/2001 Terminated)
Florida
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Georgia
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Illinois
Registered Investment Advisory firm - SEC (6/25/2001 Terminated)
Iowa
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
New York
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (6/15/2001 Terminated)
Virginia
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/17/2012)
RR
Florida
(7/2/2012)
IAR
Florida
(7/6/2012)
RR
North Carolina
(10/10/2012)
IAR
North Carolina
(9/19/2016)
RR
Oregon
(5/11/2022)
IAR
Oregon
(5/11/2022)
RR
Tennessee
(8/13/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/19/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/5/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 8/26/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 3
Date: 2/5/2001
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/15/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/14/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

NS
NBC SECURITIES, INC.
NBC COMMERCE INVESTMENTS | POSEY, BENNERS & SELLERS, INC. | NBC SECURITIES, INC.

CRD#: 17870 / SEC#: 801-58257, 8-35870

RIA
Registered Investment Advisory firm - SEC (1/3/2001 Approved)
Alabama
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
California
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Colorado
Registered Investment Advisory firm - SEC (5/18/2001 Terminated)
Florida
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Georgia
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Illinois
Registered Investment Advisory firm - SEC (6/25/2001 Terminated)
Iowa
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
New York
Registered Investment Advisory firm - SEC (5/31/2001 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (6/15/2001 Terminated)
Virginia
Registered Investment Advisory firm - SEC (5/16/2001 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
1927 1st Avenue North, Birmingham, AL 35203
Mailing Address
1927 1st Avenue North, Birmingham, AL 35203-0686
Phone number
(800) 521-9390
Established
Alabama since 03/13/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
68

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NBCS SECURITIES, INC. ADV PART 2 DISCLOSURE BROCHURE (11/5/2025)

Direct owners and executive officers

NamePositionCRD#
NBCS HOLDINGS, LLCSHAREHOLDER
CONWAY, PAMELA SUEVICE PRESIDENT2228251
DOODY, JOHN ROBERT JRPRESIDENT AND CEO1703990
ELDER, DOUG JAMESSVP - SALES MANAGER2358111
FALKENBURG, FRANK BENNERMANAGING DIRECTOR204097
MILLER, HAROLD BLAINECHIEF COMPLIANCE OFFICER4214267
RANSOM, SAMUEL DOUGLASCHIEF FINANCIAL OFFICER7690378

Regulatory assets under management

Total Number of Accounts4,545
AUM (Assets Under Management)$ 1,715,376,867

Disclosures

Regulatory Event6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NBC SECURITIES, INC.

CRD#: 17870Jacksonville, FL

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