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Sapna Garg Goel

NBC Securities, Inc.

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About Sapna Garg Goel

Sapna Garg Goel has been a registered investment advisor since November 2006. Sapna is currently registered with NBC Securities, Inc., and previously worked with Sterne Agee Financial Services, Inc., and Colonial Brokerage, Inc. Sapna is a Series 7, 63, and 65 licensed professional and holds the SIE and Series 99TO licenses. Sapna is a well-rounded financial professional and offers a variety of services to individuals, businesses, and institutions, including financial planning, pension consulting, and portfolio management.

Firm Information

Sapna Goel 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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Sapna Goel’s Registration & Firm History

AL

05/20/2024 - Present

NBC Securities, Inc. (HUNTSVILLE AL)

AL

10/19/2009 - 07/19/2010

STERNE AGEE FINANCIAL SERVICES, INC. (HUNTSVILLE AL)

AL

11/03/2006 - 10/16/2009

COLONIAL BROKERAGE, INC. (HUNTSVILLE AL)

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Licenses & Designations

IA

Issued 01/25/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/08/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/02/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sapna Garg Goel.
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