Carolyn Lee Bennett

Nbc Securities, INC.

43 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment ManagementFinancial Planning & Coaching

Nbc Securities, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

72 advisors

Number of Clients

4,545 clients

Average Client Portfolio

$377K average

Assets Under Management

$1.7B

Fee Structure

Location

1660 Embassy West Drive, Suite 300, Dubuque, IA, 52002

Get directions

History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Employment History

Current Registrations

Nbc Securities, INC.Broker

July 2015 - Present · 10 yrs 7 mos

Nbc Securities, INC.

July 2015 - Present · 10 yrs 7 mos

Previous Registrations

Jhs Capital Advisors, LLCBroker

January 2011 - July 2015 · 4 yrs 6 mos

Jhs Capital Advisors, LLC

January 2011 - July 2015 · 4 yrs 6 mos

RBC Capital Markets, LLC

April 2002 - January 2011 · 8 yrs 9 mos

RBC Capital Markets, LLCBroker

March 1998 - January 2011 · 12 yrs 10 mos

Dain Rauscher IncorporatedBroker

November 1982 - March 1998 · 15 yrs 4 mos

State Registrations28 states

AKAZCACOCTFLHIIAIDILINLAMDMNMONCNHNYOHOKORPASCSDTXUTVAWI

AdvisorBrokerBoth

Exams

No exam information available for this advisor.