NBC SECURITIES, INC.

CRD

17870

SEC file #

801-58257

EIN

630923499

DBA names

—

Economics

AUM

$1.78B

AUM band

$1B+

AUM trajectory

'20 · $1.26B

'21 · $1.51B

'22 · $1.51B

'23 · $1.98B

'25 · $1.72B

'26 · $1.78B

'20'26

$1.26B → $1.78B▲ +41%

sec adv history

Client mix

Individuals Other	3,228
Individuals High Net Worth	280
Corporations	35
Charitable Organizations	21
Pension Profit Sharing Plans	12

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 50 advisors

'21 · 65 advisors

'22 · 65 advisors

'23 · 75 advisors

'25 · 39 advisors

'26 · 63 advisors

'20'26

50 advisors → 63 advisors▲ +26%

sec adv history

Primary office

BIRMINGHAM AL

Branches

—

Custodian & Brokerage

Primary custodian

E*Tradelow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting

Fee basis

% of AUMHourly chargesFixed fees

Filings

Latest ADV filing

03/26/2026

ADV-W filed at

—

Website

nbcsecurities.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

NBCS HOLDINGS, LLC

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

NBCS HOLDINGS, LLC

DOODY, JOHN ROBERT JR

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

NBCSECURITIES.COM

Rdap Domain Creation Date

1998-12-21T05:00:00Z

Rdap Firm Age Years

Rdap Firm Age Band

20+y

Rdap Registrar

GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Total Participants

Form 5500 Total Compensation

400,729

Form 5500 Compensation Trajectory 3y

2025	400,729
2024	0

Form 5500 Plan Count Trajectory 3y

2025	8
2024	1

Schedule C Total Compensation

400,729

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0000791540

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2002-03-13

Edgar Last Filing Date

2026-04-14

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-04-14

Accession0000791540-26-000009

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

E*trade

adv brochure

Edgar Addresses

Mailing

1927 1ST AVENUE NORTHBIRMINGHAM, AL 35203-0686

Business

1927 1ST AVENUE NORTHBIRMINGHAM, AL 35203-0686

Edgar EIN

630923499

Edgar Recent Filings

13F-HR2026-04-14 · 0000791540-26-000009

X-17A-52026-02-27 · 0000791540-26-000005

Firm Has Custody

Mailing Office Differs

Rdap Domain Expiration Date

2026-12-21T05:00:00Z

Rdap Domain Last Changed

2025-12-22T17:19:04Z

Rdap Nameservers

Ns15.domaincontrol.comNs16.domaincontrol.com

Rdap Secure Dns Enabled

Rdap Status

Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited

Trust Company Affiliate