Sapna Goel is a registered investment advisor at Nbc Securities, INC., based in Huntsville, AL, with 19 years of industry experience. Sapna operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 4,545 clients with $1.7B in assets under management.
Compensation
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Number of Clients
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Fee Structure
NBC Securities offers investment management through various programs. The fees are based on a percentage of your assets, typically ranging from 0.50% to 2.50% annually, depending on the investment manager selected, the size of your portfolio, and the complexity of the services. Minimum program fees may apply. These fees generally cover the advisory services, investment manager fees, and transaction costs, but there may be additional charges for brokerage commissions, margin interest, and custody fees. Some programs offer trade allotments with no transaction fees, while others charge per transaction.
Location
213 Greene St, Suite 123, Huntsville, AL, 35801
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
Nbc Securities, INC.
Nbc Securities, INC.Broker
Previous Registrations
Sterne Agee Financial Services, INC.Broker
Colonial Brokerage, INC.Broker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.