Clearing Firm Information and Links

NBC Securities, Inc. (“NBCS”) has an association with RBC Correspondent Services (RBC CS), a division of RBC Capital Markets, LLC (a wholly-owned subsidiary of Royal Bank of Canada), our clearing firm.  RBC CS is a fully disclosed, full-service clearing and execution firm founded in 1979, and is one of the nation’s largest full-service regional brokerage and investment banking firms. In addition to our firm, RBC CS conducts clearing operations for correspondents across the country. RBC CS performs centralized cashiering, bookkeeping, and execution functions for our cash and margin accounts. RBC CS handles the delivery and receipt of securities purchased or sold by clients, receives and distributes dividends and other distributions and processes exchange offers, rights offerings, warrant exercises, tender offers and redemptions. RBC also extends credit for the purchase or sale of securities in margin accounts in accordance with the margin agreement between you and RBC Correspondent Services. Visit the RBC CS website for more information.

Business Continuity Plan: FINRA Rule 3510

As a fully disclosed and introducing broker dealer, we have developed a Disaster Recovery (“DR”) Plan to ensure business continuity. In our capacity as an introducing firm, we provide a variety of services that require the provision of continual technological and operational support to your broker. In connection with accomplishing business continuity, we have established a remote independent DR Site as a major component of our DR Plan. This Site has resources in place to operate and maintain business critical processes in the event that our headquarters in Birmingham, Alabama cannot be occupied due to anything from a natural disaster to a terrorist attack, whether or not such an event affects only our firm or is more regional in scope. The DR Plan contemplates restoration of critical processes within a twenty-four hour time span. Please note that the specifics of our DR Plan are subject to modification. You may obtain a copy of our most current DR Plan by written request. Inquiries should be directed to: NBC Securities, Inc. Attn: Compliance Department, 1927 1st Ave North, Birmingham, AL 35203.

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