AdvisorRanked
79
Some Concerns

BHK SECURITIES, LLC

2200 LAKESHORE DRIVE, BIRMINGHAM, AL 35209-8803
commissionSEC Registered
205-322-2025 HTTP://WWW.BHKLLC.COM/ CRD #139665
Visit Website
$128M
Assets Managed
3
Clients
8
Employees
20
Years Active
since 2006

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46107. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: Yes

This firm is affiliated with a broker-dealer, which means they may earn commissions on product sales — creating a potential conflict between their revenue and your best interest.

Insurance Licensed: Yes

This firm can sell insurance products (annuities, life insurance). This creates an incentive to recommend these products even when alternatives may be more appropriate.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46107

1 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 1

Complaint ratio: 33.33 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameBHK SECURITIES, LLC
CRD Number#139665
SEC RegisteredYes
Registration Date2006-09-21
States RegisteredAL
Assets Under Management$128M
Number of Clients3
Employees8
Compensation Typecommission
Last ADV Filing46107

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Frequently Asked Questions

Is BHK SECURITIES, LLC a fiduciary?

No. BHK SECURITIES, LLC is not registered as an RIA and is not legally bound by the fiduciary standard.

How does BHK SECURITIES, LLC charge clients?

BHK SECURITIES, LLC uses a commission compensation model. They also earn commissions on product sales, which may create conflicts of interest. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does BHK SECURITIES, LLC have any complaints?

Yes. BHK SECURITIES, LLC has 1 complaint(s) on record. Their complaint ratio is 33.33 per 100 clients (industry average: ~0.15).

How does BHK SECURITIES, LLC compare to other advisors in BIRMINGHAM?

BHK SECURITIES, LLC has a Red Flag Score of 79/100. There are 49 registered advisory firms in BIRMINGHAM. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46107. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.