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GD

Gayle A. Dilla

NBC SECURITIES
HUNT VALLEY, MD 21030
Some features on this profile are disabled
CRD#: 1633766
GD

Professional summary

Gayle Anne Dilla, who also goes by Gayle Anne Carson, Gayle Dilla, Gail Anne Raymond, is a registered financial advisor currently at NBC SECURITIES, INC. located in Hunt Valley, Maryland.

Gayle is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Gayle has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gayle Anne Carson | Gayle Dilla | Gail Anne Raymond

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 Gayle Anne Dilla's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Gayle Anne Dilla'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

December 1, 2017 - Present

NBC SECURITIES, INC.

Office #1: 6 North Park Drive Suite 106, Hunt Valley, MD 21030
RIA
BD
CRD#: 17870
HUNT VALLEY, MD
Current

December 1, 2017 - Present

NBC SECURITIES, INC.

Office #1: 6 North Park Drive Suite 106, Hunt Valley, MD 21030
RIA
BD
CRD#: 17870
HUNT VALLEY, MD
Past

January 16, 2009 - December 5, 2017

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WASHINGTON, DC
Past

January 16, 2009 - December 5, 2017

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WASHINGTON, DC
Past

April 2, 2007 - January 16, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
ANNAPOLIS, MD
Past

April 2, 2007 - January 16, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
ANNAPOLIS, MD
Past

September 27, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WASHINGTON, DC
Past

September 25, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
WASHINGTON, DC
Past

November 4, 2002 - November 13, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WASHINGTON, DC
Past

May 19, 1997 - November 13, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

October 12, 1993 - April 25, 1997

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 12, 1989 - July 10, 1992

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963
Past

May 21, 1987 - June 30, 1988

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

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
District of Columbia
(12/1/2017)
IAR
District of Columbia
(1/26/2018)
RR
Maryland
(12/1/2017)
IAR
Maryland
(12/1/2017)
RR
Minnesota
(12/4/2017)
IAR
Minnesota
(1/2/2019)
RR
Montana
(1/23/2018)
IAR
Montana
(2/2/2018)
RR
New York
(1/17/2019)
RR
Virginia
(12/1/2017)
IAR
Virginia
(1/3/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/8/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/1/1987
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: 5/13/2008
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/1987
General Securities Representative 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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 (1/21/2026)

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#: 17870Hunt Valley, MD 21030

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