NBC Securities, Inc. is a full service Broker-Dealer and a Registered Investment Advisor providing investment services to retail and institutional clients. NBC Securities Financial Consultants provide financial advice and solutions through a diverse menu of investment products and services which include equities, fixed income, mutual funds, separately managed accounts, annuities, and life insurance. NBC Securities was founded in 1995 as a subsidiary of National Bank of Commerce of Birmingham. Following a series of bank mergers and acquisitions, in July 2010 the founding management group of NBC Securities executed a change of ownership agreement to acquire the firm from RBC Bank (USA.) In concert with becoming privately held, NBC Securities also formed a strategic relationship with RBC Capital Markets, a wholly owned subsidiary of Royal Bank of Canada, to provide NBC Securities with clearing broker-dealer services. With private ownership, NBC Securities has the independence and flexibility to focus on core values and, while maintaining the ability to leverage the financial strength and security of RBC Capital Markets as clearing broker, enables the firm to provide the highest level of service to its clients. NBC Securities also specializes in providing financial services to independent brokers and independent investment advisors and designs and supports financial service programs for community banks. NBC Securities’ corporate headquarters is located in Birmingham, Alabama. The firm currently operates offices in Alabama, California, Florida, Iowa, Kansas, Maryland, Minnesota, Ohio and Oregon. NBC Securities, Inc. Corporate Office 1927 1st Avenue North Birmingham, Alabama 35203 Phone: (205) 421-2390 Fax: (205) 521-9399