Savannah K. Forleo
NBC SECURITIES
Louisville, KY 40207
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CRD#: 6714624
Professional summary
Savannah Kay Forleo, CFP®, who also goes by Savannah K Forleo, Savannah Forleo, Savannah K Milliner, is a registered financial advisor currently at NBC SECURITIES, INC. located in Louisville, Kentucky.
Savannah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Savannah has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Savannah K Forleo | Savannah Forleo | Savannah K Milliner
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.
SK Financial LLC The business is not investment-related address is 9910 Constantine Circle, Prospect, KY 40059 Nature of business is only used for tax purposes to transfer commissions to business account from personal account. I am the sole proprietor the approximate number of hours spent on business is less than 5 hours per year and no hours are devoted to business during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Savannah Kay Forleo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Savannah Kay Forleo'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®
CFP®
Start date: 2021
Experience
Current
August 15, 2025 - Present
NBC SECURITIES, INC.
Office #1: 4350 Brownsboro Road Suite 110, Louisville, KY 40207RIA
BD
CRD#: 17870
Louisville, KY
Current
August 15, 2025 - Present
NBC SECURITIES, INC.
Office #1: 4350 Brownsboro Road Suite 110, Louisville, KY 40207RIA
BD
CRD#: 17870
Louisville, KY
Past
August 14, 2023 - August 14, 2025
L.M. KOHN & COMPANY
RIA
CRD#: 27913
LOUISVILLE, KY
Past
August 14, 2023 - August 14, 2025
L.M. KOHN & COMPANY
BD
CRD#: 27913
LOUISVILLE, KY
Past
August 18, 2022 - August 15, 2023
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
LOUISVILLE, KY
Past
August 18, 2022 - August 15, 2023
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
LOUISVILLE, KY
Past
May 27, 2021 - August 11, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LOUISVILLE, KY
Past
May 27, 2021 - August 11, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LOUISVILLE, KY
Past
February 2, 2021 - June 11, 2021
MORGAN STANLEY
RIA
CRD#: 149777
LOUISVILLE, KY
Past
February 2, 2021 - June 11, 2021
MORGAN STANLEY
BD
CRD#: 149777
LOUISVILLE, KY
Past
December 19, 2018 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
LOUISVILLE, KY
Past
December 19, 2018 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
LOUISVILLE, KY
Past
January 18, 2017 - December 12, 2018
MORGAN STANLEY
RIA
CRD#: 149777
MEMPHIS, TN
Past
December 15, 2016 - December 12, 2018
MORGAN STANLEY
BD
CRD#: 149777
MEMPHIS, TN
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
California(8/15/2025)
IAR
California(8/15/2025)
RR
Illinois(8/15/2025)
IAR
Illinois(8/15/2025)
RR
Indiana(8/15/2025)
IAR
Indiana(8/15/2025)
RR
Kentucky(8/15/2025)
IAR
Kentucky(8/15/2025)
RR
Ohio(9/19/2025)
IAR
Ohio(9/21/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 17870Louisville, KY 40207TRUST BUT VERIFY
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