Unclaimed Profile

Doug James Elder

NBC SECURITIES, INC.·BIRMINGHAM, Alabama

SIE, Series 6, Series 7, Series 9, Series 10, Series 24, Series 26, Series 63, Series 65, Series 99TOClean record20 years registeredNBC SECURITIES, INC.

1927 FIRST AVENUE NORTH, BIRMINGHAM, AL 35203CRD# 2358111Firm CRD# 17870

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Doug James Elder · BIRMINGHAM, AL

Registration

CRD #2358111 · NBC SECURITIES, INC. · 20 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: NBC SECURITIES, INC.

NBC SECURITIES, INC.

Oct 2005 – Jan 2026

BIRMINGHAM, AL

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 9

Series 10

Series 24

Series 26

Series 63

Series 65

Series 99TO

Registration record

First registered · October 31, 2005

Years registered · 20

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

NBC SECURITIES, INC.

CRD 17870 · SEC 801-58257

AUM

$1.7B

Regulatory assets under management

Employees

5,266 client accounts

Services offered by NBC SECURITIES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at NBC SECURITIES, INC. →

Introduction

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Frequently Asked Questions

What services does Doug James Elder offer?

Doug James Elder specializes in Financial Planning, Investment Management, Wealth Management.

What are Doug James Elder's credentials?

Doug James Elder is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Doug James Elder located?

Doug James Elder is based in BIRMINGHAM, Alabama, last registered with NBC SECURITIES, INC..

How does Doug James Elder charge for services?

Doug James Elder's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NBC SECURITIES, INC.?

NBC SECURITIES, INC. has approximately 68 employees and manages $1.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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