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Neil Victor Bales

NBC Securities, Inc.

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About Neil Victor Bales

Neil Victor Bales is a registered representative with NBC Securities, Inc. Neil has been in the industry since February 14, 2012. Neil has Series 7, 9, 10, 24, 31, 63, and 65 licenses. Neil is registered with the state of Missouri. Neil previously worked at Wells Fargo Clearing Services, LLC in Colorado Springs, Colorado.

Firm Information

Neil Bales 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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Neil Bales’s Registration & Firm History

MO

07/17/2023 - Present

NBC Securities, Inc. (Sikeston MO)

CO

02/02/2012 - 07/03/2023

WELLS FARGO CLEARING SERVICES, LLC (COLORADO SPRINGS CO)

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Licenses & Designations

IA

Issued 09/23/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/25/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/16/2023

Series 24 - General Securities Principal Examination

BC

Issued 11/17/2016

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 10/14/2016

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 12/06/2018

Series 31 - Futures Managed Funds Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/12/2012

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Neil Victor Bales.
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