Cory D. Williams

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CRD#: 2957248

Professional summary

Cory Don Williams was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Cory is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Cory had worked at 3 firms, which includes NBC SECURITIES INC., SIGNATOR INVESTORS INC., NEW ENGLAND SECURITIES.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

April 25, 2013 - September 3, 2013

NBC SECURITIES, INC.

CRD#: 17870

HUNT VALLEY, MD

Past

February 26, 2002 - March 13, 2013

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

TOWSON, MD

Past

May 6, 1998 - March 13, 2013

SIGNATOR INVESTORS, INC.

CRD#: 468

TOWSON, MD

Past

November 18, 1997 - December 31, 1998

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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".

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)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/19/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/6/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/15/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

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

SEC notice filing (53 States and Territories)

FINRA licenses (51 States and Territories)

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

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

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.

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Firm Stability Insights

Cory D. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

NBC SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2000

Series 63

Date: 9/1/1998

Series 7

Date: 9/6/2000

Series 6

Date: 11/15/1997

Current Firm

NBC SECURITIES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NBC SECURITIES, INC.

TRUST BUT VERIFY

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