HM
Harold B. Miller
NBC SECURITIES
Birmingham, AL 35203
Some features on this profile are disabled
CRD#: 4214267
HM
Professional summary
Harold Blaine Miller is a registered financial advisor currently at NBC SECURITIES, INC. located in Birmingham, Alabama.
Harold is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Harold has worked at 15 firms and has passed the Series 66, Series 52TO, SIE, Series 7, 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.
1) POA for Emily Miller; Helena, AL; Power of Attorney; Investment Related; Will serve as POA for spouse in the event she becomes incapacitated; 4/2/2025; 1 hr/mo; 0hr/mo during trading hours. 2) The Emily and Blaine Miller Family Trust; Helena, AL; Trust; Not Investment Related; Trustee; Established family trust for estate planning; 4/2/2025; 1 hr/mo; 0hr/mo during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Harold Blaine Miller's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harold Blaine 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
October 6, 2025 - Present
NBC SECURITIES, INC.
Office #1: 1927 First Avenue North, Birmingham, AL 35203RIA
BD
CRD#: 17870
Birmingham, AL
Current
October 6, 2025 - Present
NBC SECURITIES, INC.
Office #1: 1927 1st Avenue North, Birmingham, AL 35203-0686RIA
BD
CRD#: 17870
Birmingham, AL
Past
April 8, 2025 - October 3, 2025
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
Dallas, TX
Past
April 8, 2025 - October 3, 2025
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
Dallas, TX
Past
January 5, 2016 - March 13, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
Birmingham, AL
Past
January 5, 2016 - April 2, 2025
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
Birmingham, AL
Past
July 8, 2015 - December 22, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
BIRMINGHAM, AL
Past
July 8, 2015 - December 22, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
BIRMINGHAM, AL
Past
September 7, 2012 - December 28, 2015
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
BIRMINGHAM, AL
Past
September 4, 2012 - December 28, 2015
STONEX SECURITIES INC.
BD
CRD#: 18456
BIRMINGHAM, AL
Past
August 30, 2012 - December 28, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
Past
May 27, 2009 - September 7, 2012
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
BIRMINGHAM, AL
Past
April 5, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
BIRMINGHAM, AL
Past
April 5, 2007 - September 7, 2012
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
BIRMINGHAM, AL
Past
May 5, 2005 - March 24, 2007
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
BIRMINGHAM, AL
Past
May 5, 2005 - March 24, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BIRMINGHAM, AL
Past
April 8, 2004 - April 4, 2005
COLONIAL ASSET MANAGEMENT INC
RIA
CRD#: 108950
BIRMINGHAM, AL
Past
March 29, 2004 - March 29, 2005
COLONIAL BROKERAGE, INC.
BD
CRD#: 111668
MONTGOMERY, AL
Past
May 21, 2002 - June 11, 2003
E*TRADE ADVISORY SERVICES, INC.
RIA
CRD#: 111178
TRUSSVILLE, AL
Past
September 17, 2001 - June 11, 2003
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
August 4, 2000 - October 5, 2000
THE ADVISORS GROUP, INC.
BD
CRD#: 14035
BETHESDA, MD
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(10/6/2025)
IAR
Alabama(10/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
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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