FF
Frank B. Falkenburg
NBC SECURITIES
Birmingham, AL 35203
Some features on this profile are disabled
CRD#: 204097
FF
Professional summary
Frank Benner Falkenburg, who also goes by Frank Benners Falkenburg, is a registered financial advisor currently at NBC SECURITIES, INC. located in Birmingham, Alabama.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Frank has worked at 3 firms and has passed the Series 63, Series 7TO, Series 72, Series 57TO, SIE, Series 55, Series 41, PC, Series 000, Series 1, Series 24 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank Benners Falkenburg
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.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Benner Falkenburg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Benner Falkenburg's 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®
NoneExperience
Current
November 2, 1995 - Present
NBC SECURITIES, INC.
Office #1: 1927 First Avenue North, Birmingham, AL 35203RIA
BD
CRD#: 17870
Birmingham, AL
Current
October 30, 1995 - Present
NBC SECURITIES, INC.
Office #1: 1927 1st Avenue North, Birmingham, AL 35203-0686RIA
BD
CRD#: 17870
Birmingham, AL
Past
April 16, 1981 - September 11, 1995
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
Past
February 10, 1970 - May 13, 1981
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
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(10/30/1995)
IAR
Alabama(5/8/1996)
RR
California(10/27/1995)
IAR
California(1/10/2006)
RR
Colorado(1/5/2022)
RR
District of Columbia(6/20/2005)
IAR
District of Columbia(9/1/2022)
RR
Florida(11/2/1995)
IAR
Florida(5/29/2008)
RR
Georgia(10/31/1995)
IAR
Georgia(5/29/2008)
RR
Illinois(2/24/2004)
IAR
Illinois(10/18/2021)
RR
Indiana(8/24/2016)
RR
Iowa(1/3/2002)
RR
Kansas(2/26/2004)
RR
Kentucky(10/14/2021)
IAR
Kentucky(10/14/2021)
RR
Louisiana(2/26/2004)
RR
Massachusetts(1/5/2022)
RR
Michigan(2/24/2004)
RR
Minnesota(1/28/2003)
RR
Mississippi(11/9/2000)
RR
Missouri(2/25/2004)
RR
New Jersey(1/15/2003)
RR
New Mexico(9/7/2023)
IAR
New Mexico(10/13/2023)
RR
New York(2/22/2003)
RR
North Carolina(1/7/2022)
IAR
North Carolina(1/31/2022)
RR
Ohio(9/18/2003)
IAR
Ohio(10/7/2021)
RR
Oklahoma(12/21/2017)
RR
Pennsylvania(1/29/1996)
IAR
Pennsylvania(1/27/2022)
RR
South Carolina(2/25/2004)
RR
Tennessee(11/2/1995)
RR
Texas(11/2/1995)
IAR
Texas(11/2/1995)
RR
Utah(1/28/2022)
IAR
Utah(2/1/2022)
RR
Virginia(12/21/2017)
RR
Wisconsin(1/22/2007)
IAR
Wisconsin(1/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 41
Date: 7/2/1985
NYSE Allied Member ExaminationGeneral Industry/Product Exam
RR
PC
Date: 8/23/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 000
Date: 2/17/1965
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 2/17/1965
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 1/24/1970
General Securities Principal ExaminationSRO 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)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NBCS HOLDINGS, LLC | SHAREHOLDER | |
| CONWAY, PAMELA SUE | VICE PRESIDENT | 2228251 |
| DOODY, JOHN ROBERT JR | PRESIDENT AND CEO | 1703990 |
| ELDER, DOUG JAMES | SVP - SALES MANAGER | 2358111 |
| FALKENBURG, FRANK BENNER | MANAGING DIRECTOR | 204097 |
| MILLER, HAROLD BLAINE | CHIEF COMPLIANCE OFFICER | 4214267 |
| RANSOM, SAMUEL DOUGLAS | CHIEF FINANCIAL OFFICER | 7690378 |
Regulatory assets under management
| Total Number of Accounts | 4,545 |
| AUM (Assets Under Management) | $ 1,715,376,867 |
Disclosures
| Regulatory Event | 6 |
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#: 17870Birmingham, AL 35203TRUST BUT VERIFY
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