In this edition of Let’s Be Frank—our ongoing series exploring how Chairman Frank Falkenburg’s leadership principles shape NBC Securities—we sat down with Equity Desk Manager Adam Newton to discuss how a client-first mindset guides the work of the equity trading desk. Adam shares what he prioritizes to support NBCS advisors and their clients through both steady and volatile market conditions.
Q: Frank has always emphasized putting clients first; how does this principle manifest in the day-to-day of the equity desk operations?
A: On the NBCS equity trade desk, putting clients first means prioritizing best execution, transparency, and responsiveness on every order we handle throughout the day. This means being just as present and engaged for the small trades (that mean just as much to the end investor) as I am for the larger trades that might be deemed “more important.”
Q: In fast-moving markets, how do you deliver news that may be difficult for clients?
A: Clear communication and disciplined risk management ensure client interests remain central, even in fast-moving markets. Difficult news or mistakes require the same presence. That means showing up equally in calm and volatile periods, working to convey difficult news productively and transparently, then quickly driving toward resolution.
Q: “Helping our families thrive” is a core value here. How does that shape your mindset and how you lead?
A: Viewing clients as “our families,” whether it’s our investment clients or our NBCS advisor clients, helps create a mindset of deeper responsibility, care, and long-term thinking in every decision. As a result, the key personal values of trust, accountability, and consistency become core drivers of my daily behavior.
Q: How do you carry Frank’s values of discipline and client trust as you navigate a changing market?
