Lucinda J. Segers

NBZ INVESTMENT ADVISORS

Knoxville, TN 37919

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CRD#: 6822493

Professional summary

Lucinda Jensen Segers is a registered financial advisor currently at NBZ INVESTMENT ADVISORS, LLC located in Knoxville, Tennessee.

Lucinda is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Lucinda has worked at 1 firm and has passed the Series 65 exam.

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.

Novinger, Ball & Zivi, PC Not investment related 4110 Sutherland Avenue, Knoxville, TN 37919 Accounting Firm - Partner Start Date 09/1991 Monthly hours - 135 Monthly hours during trading hours - 135 Duties include CPA functions and administrative duties of managing firm

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucinda Jensen Segers'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

August 4, 2017 - Present

NBZ INVESTMENT ADVISORS, LLC

Office #1: 6322 Deane Hill Drive, Knoxville, TN 37919

RIA

CRD#: 123902

Knoxville, 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".

NBZ INVESTMENT ADVISORS, LLC

CRD#: 123902 / SEC#: 801-62087

RIA

Registered Investment Advisory firm - (6/3/2003 Approved)

Tennessee

Registered Investment Advisory firm - (10/29/2003 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(8/4/2017)

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: 8/4/2017

Uniform Investment Adviser Law Examination

Current Firm

NBZ INVESTMENT ADVISORS, LLC

CRD#: 123902 / SEC#: 801-62087

RIA

Registered Investment Advisory firm - (6/3/2003 Approved)

Tennessee

Registered Investment Advisory firm - (10/29/2003 Terminated)

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Contact information

Main Address

6322 Deane Hill Drive, Knoxville, TN 37919

Mailing Address

Phone number

(865) 584-1184

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NBZ INVESTMENT ADVISORS 2A BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	486
AUM (Assets Under Management)	$ 370,784,086

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/22/2025	Cover Page	Report
11/21/2024	Cover Page	Report
02/28/2024	Cover Page	Report
08/26/2022	Cover Page	Report

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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Lucinda J. Segers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lucinda Jensen Segers's CRS (Customer Relationship Summary).

Certified licenses

Experience

NBZ INVESTMENT ADVISORS, LLC

Primary Firm SEC Registration

NBZ INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/4/2017

Current Firm

NBZ INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NBZ INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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