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AW

Anthony B. Wolfe

NBC SECURITIES
Birmingham, AL 35203
Some features on this profile are disabled
CRD#: 4014624
AW

Professional summary

Anthony Brian Wolfe is a registered financial advisor currently at NBC SECURITIES, INC. located in Birmingham, Alabama.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Anthony has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 9, Series 10, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

Click below to view Anthony Brian Wolfe's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Anthony Brian Wolfe'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

April 23, 2008 - Present

NBC SECURITIES, INC.

Office #1: 1927 First Avenue North, Birmingham, AL 35203
RIA
BD
CRD#: 17870
Birmingham, AL
Current

November 3, 2005 - Present

NBC SECURITIES, INC.

Office #1: 1927 1st Avenue North, Birmingham, AL 35203-0686
RIA
BD
CRD#: 17870
Birmingham, AL
Past

July 18, 2000 - November 9, 2005

AMSOUTH INVESTMENT SERVICES, INC.

BD
CRD#: 15692
BIRMINGHAM, AL
Past

October 18, 1999 - May 17, 2000

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX

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
(11/3/2005)
IAR
Alabama
(4/23/2008)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/17/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/15/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/15/1999
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/29/2025
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/25/2006
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/24/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/23/2001
General Securities Principal 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)
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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)

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#: 17870Birmingham, AL 35203

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