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Dale Barton Elliott

31 Years of Experience
1 DisclosureBroker
Areas of Practice
Investment ManagementFinancial Planning & Coaching
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

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Location

561 Fairhope Ave, Suites 203 D&E, Fairhope, AL, 36532

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2002
Denied
Other Business Activities

Dale is a member of Third Saturday LLC, which holds the rights to a University of Alabama football stadium skybox. He spends no time on this non-investment related activity.

Employment History
Current Registrations
Nbc Securities, INC.
April 1997 - Present · 28 yrs 10 mos
Nbc Securities, INC.Broker
July 1996 - Present · 29 yrs 7 mos
Previous Registrations
Nbc Securities, INC.Broker
May 1996 - May 1996 · 0 mos
Sterne, Agee & Leach, INC.Broker
October 1993 - May 1996 · 2 yrs 7 mos
State Registrations18 states
ALCACOFLGAKYLAMDMOMSNCNMNYOHPATNTXWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.