LM
Lawrence C. Miller
NBC SECURITIES
Granville, OH 43023
Some features on this profile are disabled
CRD#: 335170
LM
Professional summary
Lawrence Clay Miller, who also goes by Larry Miller, is a registered financial advisor currently at NBC SECURITIES, INC. located in Granville, Ohio.
Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1970. Lawrence has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31, Series 5, Series 000, Series 1, Series 9, Series 10, Series 4, Series 12 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Larry Miller
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.
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Owner�
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CRS (Client Relationship Summary) - RIA
Click below to view Lawrence Clay Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Clay Miller'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
June 20, 2014 - Present
NBC SECURITIES, INC.
Office #1: 1670 Columbus Rd Suite A, Granville, OH 43023RIA
BD
CRD#: 17870
Granville, OH
Current
June 20, 2014 - Present
NBC SECURITIES, INC.
Office #1: 1670 Columbus Rd Suite A, Granville, OH 43023RIA
BD
CRD#: 17870
Granville, OH
Past
March 13, 2009 - July 10, 2014
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
GRANVILLE, OH
Past
March 13, 2009 - July 10, 2014
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
GRANVILLE, OH
Past
December 5, 2006 - March 13, 2009
FERRIS, BAKER WATTS, LLC
RIA
CRD#: 285
GRANVILLE, OH
Past
December 1, 2006 - March 13, 2009
FERRIS, BAKER WATTS, LLC
BD
CRD#: 285
GRANVILLE, OH
Past
October 11, 2005 - December 8, 2006
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
GRANVILLE, OH
Past
December 10, 1999 - December 8, 2006
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
GRANVILLE, OH
Past
April 20, 1994 - January 10, 2000
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 4, 1987 - April 28, 1994
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 21, 1983 - August 21, 1987
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
April 4, 1978 - October 28, 1983
BLUNT ELLIS & LOEWI INCORPORATED
BD
CRD#: 7580
Past
September 19, 1977 - April 4, 1978
LOEWI & CO., INCORPORATED
BD
CRD#: 526
Past
December 28, 1973 - October 21, 1977
VERCOE & COMPANY, INC.
BD
CRD#: 855
Past
September 11, 1970 - January 28, 1974
HAYDEN STONE INC.
BD
CRD#: 6567
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(3/23/2023)
RR
California(6/30/2014)
RR
Colorado(6/20/2014)
RR
Florida(6/20/2014)
IAR
Florida(2/21/2025)
RR
Kansas(9/17/2020)
RR
Kentucky(12/7/2023)
RR
Michigan(6/20/2014)
IAR
Michigan(3/21/2025)
RR
New York(6/20/2014)
RR
Ohio(6/20/2014)
IAR
Ohio(6/20/2014)
RR
Oklahoma(7/14/2014)
RR
Oregon(11/10/2022)
RR
Pennsylvania(11/29/2018)
RR
South Carolina(9/2/2022)
RR
Texas(6/20/2014)
IAR
Texas(11/26/2018)
RR
Vermont(6/1/2020)
RR
Virginia(8/12/2014)
RR
Washington(7/15/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 11/18/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 000
Date: 12/11/1968
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 12/11/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 9/17/1977
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
RR
Series 00
Date: 2/23/1974
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.
