Mary O. Wier
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CRD#: 2331610
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mary Onita Wier, CFP® was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1993. Mary had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Budgeting
Insurance Planning
Retirement Planning
Investment Planning
Comprehensive Financial Planni...
Retirement Income Management
Estate Planning
Are you a "fiduciary"?
No
Aliases
None
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.
MARY WIER FINE ART
NOT INVESTMENT RELATED
5120 CLAIRMONT AVE
BIRMINGHAM, AL 35222
PAINTING IN OILS
2011
50 HRS/MONTH
6 HRS DURING TRADING HRS
I PAINT AS A HOBBY BUT DO OCCASIONALLY SELL SOME OF MY WORKS
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2003
Experience
Past
November 23, 2011 - August 15, 2025
NBC SECURITIES, INC.
RIA
CRD#: 17870
BIRMINGHAM, AL
Past
November 23, 2011 - August 15, 2025
NBC SECURITIES, INC.
BD
CRD#: 17870
BIRMINGHAM, AL
Past
September 5, 2008 - November 25, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BIRMINGHAM, AL
Past
September 5, 2008 - November 25, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BIRMINGHAM, AL
Past
January 7, 2008 - September 5, 2008
HORIZONS FINANCIAL GROUP, INC.
RIA
CRD#: 135432
BIRMINGHAM, AL
Past
August 5, 2005 - January 8, 2008
TRIAD ADVISORS LLC
RIA
CRD#: 25803
BIRMINGHAM, AL
Past
August 5, 2005 - September 5, 2008
TRIAD ADVISORS LLC
BD
CRD#: 25803
BIRMINGHAM, AL
Past
June 23, 2003 - August 10, 2005
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BIRMINGHAM, AL
Past
June 23, 2003 - August 10, 2005
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
July 6, 1998 - June 20, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
BIRMINGHAM, AL
Past
April 30, 1998 - June 20, 2003
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
BIRMINGHAM, AL
Past
April 6, 1995 - May 5, 1998
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
April 28, 1993 - April 12, 1994
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
