Carolyn Bennett is a registered investment advisor at Nbc Securities, INC., based in Dubuque, IA, with 43 years of industry experience. Carolyn 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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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
1660 Embassy West Drive, Suite 200, Dubuque, IA, 52002
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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.Broker
Nbc Securities, INC.
Previous Registrations
Jhs Capital Advisors, LLCBroker
Jhs Capital Advisors, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Dain Rauscher IncorporatedBroker
State Registrations28 states
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