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CAROLYN LEE BENNETT
CAROLYN LEE BUHR, CAROLYN LEE STORK
CRD#: 1073277
IA
Investment Adviser
B
Broker
NBC SECURITIES, INC.CRD#: 17870 1660 EMBASSY WEST DRIVE
SUITE 300
DUBUQUE, IA 52002
Registration History
1985199019952000200520102015202020252 FIRMS2011 - 2015 (4 years)2 FIRMS2015 - Present (9 years)BRBC CAPITAL MARKETS, LLC (CRD# 31194)1998 - 2011 (12 years)BDAIN RAUSCHER INCORPORATED (CRD# 7600)1982 - 1998 (15 years)IARBC CAPITAL MARKETS, LLC (CRD# 31194)2002 - 2011 (8 years)
License(s)

State Registrations

B
Alabama 7/23/2015

B
Minnesota 7/23/2015

B
Alaska 6/19/2020

B
Missouri 7/23/2015

B
Arizona 7/23/2015

B
Nebraska 7/20/2023

B
California 7/23/2015

B
New Hampshire 1/8/2020

B
Colorado 7/23/2015

B
New York 9/4/2015

B
Connecticut 6/12/2018

B
North Carolina 9/7/2023

B
Florida 7/23/2015

B
Ohio 7/23/2015

B
Hawaii 7/23/2015

B
Oklahoma 7/23/2015

B
Idaho 7/13/2020

B
Oregon 7/24/2015

B
Illinois 7/23/2015

B
Pennsylvania 7/23/2015

B
Indiana 7/23/2015

B
South Carolina 7/23/2015

B
Iowa 7/23/2015

B
South Dakota 2/25/2022

IA
Iowa 7/23/2015

B
Texas 7/23/2015

B
Kentucky 7/23/2015

B
Utah 6/9/2017

B
Louisiana 7/23/2015

B
Virginia 7/23/2015

B
Maryland 7/23/2015

B
Washington 7/24/2015

B
Massachusetts 3/2/2023

B
Wisconsin 7/23/2015

B
Michigan 6/8/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NBC SECURITIES, INC. (CRD#:17870)
1660 EMBASSY WEST DRIVE SUITE 300, DUBUQUE, IA 52002
Registered with this firm since 7/23/2015

B
NBC SECURITIES, INC. (CRD#:17870)
1660 EMBASSY WEST DRIVE SUITE 300, DUBUQUE, IA 52002
Registered with this firm since 7/23/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/10/2011 - 07/24/2015 JHS CAPITAL ADVISORS, LLC (CRD#:112097) DUBUQUE, IA
B
01/10/2011 - 07/24/2015 JHS CAPITAL ADVISORS, LLC (CRD#:112097) DUBUQUE, IA
IA
04/19/2002 - 01/10/2011 RBC CAPITAL MARKETS, LLC (CRD#:31194) DUBUQUE, IA
B
03/02/1998 - 01/10/2011 RBC CAPITAL MARKETS, LLC (CRD#:31194) DUBUQUE, IA
B
11/24/1982 - 03/02/1998 DAIN RAUSCHER INCORPORATED (CRD#:7600)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.