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Carolyn Lee Bennett

NBC Securities, Inc.

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About Carolyn Lee Bennett

Carolyn Bennett is an active investment advisor representative at NBC Securities, Inc. Carolyn has been in the financial industry since 1982 and has a wealth of experience in the field. Carolyn's registration in Iowa reflects her commitment to serving clients in the state. Carolyn has a broad range of experience working with a variety of clients, including individuals, corporations, and charitable organizations.

Firm Information

Carolyn Bennett is currently registered with NBC Securities, Inc.. NBC Securities, Inc. is a corporation headquartered in Birmingham, Alabama, that has been in operation since March 13, 1986. The firm provides financial planning, pension consulting, and portfolio management services for individuals, businesses, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. The firm manages approximately $1 billion to $10 billion in assets and has a presence in all 50 states and the District of Columbia.
NBC Securities, Inc.

1927 FIRST AVENUE NORTH

BIRMINGHAM, AL 35203

$1.72B

Assets Under Management

100

Total Clients

83

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carolyn Bennett’s Registration & Firm History

IA

07/23/2015 - Present

NBC Securities, Inc. (DUBUQUE IA)

IA

01/10/2011 - 07/24/2015

JHS CAPITAL ADVISORS, LLC (DUBUQUE IA)

IA

03/02/1998 - 01/10/2011

RBC CAPITAL MARKETS, LLC (DUBUQUE IA)

NA

11/24/1982 - 03/02/1998

DAIN RAUSCHER INCORPORATED

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Licenses & Designations

BOTH

Issued 04/18/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/08/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/20/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carolyn Lee Bennett.
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