NBC SECURITIES, INC.

Registered adviser

CIK

791540

Location

BIRMINGHAM, AL

Portfolio Value

Mid $1,412,039,988

Diversification

Diversified

Filing Date

Global Rank

#1,982 / 8,818 ▼ 37 · as of Jun 2026

Top Industry

Semiconductors 8.3%

Period ended 28 days ago

Filed Oct 26, 2026 · 2d

13 quarters · since Sep 2023

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 17870

Roster of Oct 1, 2026

Regulatory AUM

$1,784,817,450

Main clients

Individuals and high net worth (88% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$1,784,817,450	Individuals and high net worth (88%)
Feb 2025 to Mar 2026	$1,715,376,867	Individuals and high net worth (96%)
May 2024 to Jan 2025	$1,695,739,514	Individuals and high net worth (96%)
May 2023 to Apr 2024	$1,383,786,365	Individuals and high net worth (95%)
Apr 2023	$1,383,786,365	Individuals and high net worth (95%)
Apr 2022 to Mar 2023	$1,983,436,281	Individuals and high net worth (96%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 29.8%, 68.4 effective positions, active share 49.8% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

29.1% over the last four quarters (under 30%)

Horizon

Medium horizon

Value-weighted holding period 11.0 quarters (4 to under 12)

Closest benchmark: every 13F filer's combined book, active share 49.8%; sector active share 30.3% against the combined 13F book's sector weights.

Over time 12 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

2,432 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

7.9%

+0.3 pts

Top 5

23.0%

+1.5 pts

Top 10

32.0%

+2.2 pts

HHI

162

Diversified+16

Portfolio Trend

13 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	39.0%	$550,254,910	927
Technology	17.1%	$242,068,465	211
Financial Services	8.0%	$113,491,268	290
Industrials	7.9%	$111,403,140	212
Healthcare	5.2%	$73,512,011	181
Consumer Cyclical	4.8%	$67,689,556	150
Utilities	4.5%	$63,160,954	60
Energy	4.0%	$56,173,577	79
Communication Services	3.5%	$49,097,486	61
Consumer Defensive	3.2%	$44,732,043	75
Real Estate	1.9%	$26,443,854	93
Basic Materials	1.0%	$14,012,724	93

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
SPTI	State Street(R) SPDR(R) Portfolio Intermediate Term Treasury ETF	+76,803	77,131	$2,104,133
SPAB	State Street(R) SPDR(R) Portfolio Aggregate Bond ETF	+67,712	435,267	$10,603,104
PIE	Invesco Ltd.	+62,244	63,412	$0
SPTL	State Street(R) SPDR(R) Portfolio Long Term Treasury ETF	+57,864	58,265	$1,389,620
JBS	Jbs N.V.	+43,054	43,156	$487,231
SPDW	State Street(R) SPDR(R) Portfolio Developed World ex-US ETF	+33,673	254,166	$12,761,674
AGG	iShares Core U.S. Aggregate Bond ETF	+18,678	99,702	$9,425,827
NTSK	Netskope Inc	+15,778	15,878	$276,912
SPYV	State Street(R) SPDR(R) Portfolio S&P 500(R) Value ETF	+15,119	100,649	$6,152,673
GLW	Corning Inc	+14,880	40,773	$6,269,256
JQC	Nuveen Credit Strategies Income Fund	+14,084	149,919	$712,115
VIV	Telefonica Brasil S.A.	+14,025	47,901	$548,466
PTF	Victory Portfolios II	+13,822	25,035	$0
VEA	Vanguard FTSE Developed Markets ETF	+13,766	190,975	$13,484,744
ACXP	Acurx Pharmaceuticals, Inc.	+13,700	15,200	$19,152
NYT	New York Times Co	+12,572	40,784	$2,597,940
MGK	VANGUARD MEGA CAP GROWTH INDEX FUND	+11,779	13,229	$1,225,666
CSCO	Cisco Systems, Inc.	+11,614	42,161	$4,537,788
AGGH	Simplify Exchange Traded Funds	+10,642	92,633	$1,753,542
NVO	Novo Nordisk A S	+10,590	23,853	$904,267
SPIB	State Street(R) SPDR(R) Portfolio Intermediate Term Corporate Bond ETF	+9,556	289,555	$9,346,835
SCHR	Schwab Intermediate-Term U.S. Treasury ETF	+9,301	109,257	$2,589,390
SAIL	SailPoint, Inc.	+9,285	11,444	$232,999
RQI	Cohen & Steers Quality Income Realty Fund Inc	+8,877	40,552	$442,016
CTA	EIDP, Inc.	+8,802	18,002	$0
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
CMCSA	Comcast Corp	−108,366	19,088	$415,354
SPSB	State Street(R) SPDR(R) Portfolio Short Term Corporate Bond ETF	−90,513	5,865	$173,545
SRE	Sempra	−39,931	39,320	$3,065,387
SRLN	State Street(R) Blackstone Senior Loan ETF	−34,830	24,962	$1,008,215
DKNG	DraftKings Inc.	−31,186	19,325	$367,175
CLF	Cleveland-Cliffs Inc.	−29,015	65,692	$723,268
SPHD	Invesco Ltd.	−20,221	7,091	$0
CALY	Callaway Golf Co	−16,671	747	$10,525
SPHY	State Street(R) SPDR(R) Portfolio High Yield Bond ETF	−16,652	170,391	$3,849,132
ENIC	Enel Chile S.A.	−16,368	58,039	$245,504
—		−16,151	77,757	$0
JOBY	Joby Aviation, Inc.	−15,859	101,909	$616,549
CNH	CNH Industrial N.V.	−14,891	30,966	$397,913
SPLV	Invesco S&P 500 Low Volatility ETF	−13,711	6,471	$456,270
FWRG	First Watch Restaurant Group, Inc.	−12,133	75,850	$771,394
GOF	Guggenheim Strategic Opportunities Fund	−11,359	13,124	$111,685
GAB	Gabelli Equity Trust Inc	−11,296	17,885	$93,717
GDXJ	VanEck Junior Gold Miners ETF	−10,710	100	$11,395
JVAL	JPMorgan U.S. Value Factor ETF	−10,585	1,634	$94,641
CGMU	Capital Group Municipal Income ETF	−10,472	16,670	$432,419
SPYM	State Street(R) SPDR(R) Portfolio S&P 500(R) ETF	−10,149	368,804	$33,103,847
—		−10,047	6,034	$0
AAPL	Apple Inc.	−9,554	127,575	$42,485,026
PL	Planet Labs PBC	−9,357	385	$6,310
FSMB	First Trust Short Duration Managed Municipal ETF	−9,310	1,610	$31,330
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
ACYN	First Trust Exchange-Traded Fund	71,794	$1,497,622
EROC	ERock, Inc.	121,841	$1,493,770
WOLF	Wolfspeed, Inc.	39,750	$1,118,167
OPI	Office Properties Income Trust	53,670	$854,963
IBTO	iShares iBonds Dec 2033 Term Treasury ETF	29,620	$680,963
SPLB	State Street(R) SPDR(R) Portfolio Long Term Corporate Bond ETF	31,207	$635,998
MRX	Marex Group Ltd	5,380	$375,308
XMTR	Xometry, Inc.	3,458	$355,655
HNGE	Hinge Health, Inc.	3,087	$300,179
QMAG	FT Vest Nasdaq-100 Moderate Buffer ETF - August	10,956	$288,361
DGII	Digi International Inc	3,779	$288,073
MTRN	MATERION Corp	968	$260,963
PGEN	Precigen, Inc.	29,425	$251,878
BETA	BETA Technologies, Inc.	11,245	$248,514
TFX	Teleflex Inc	1,944	$243,077
BMI	Badger Meter Inc	1,911	$236,084
KAI	Kadant Inc	892	$233,275
ETON	Eton Pharmaceuticals, Inc.	4,241	$218,369
HTFL	Heartflow, Inc.	4,354	$216,611
SLS	SELLAS Life Sciences Group, Inc.	16,648	$204,936
ORKA	Oruka Therapeutics, Inc.	2,425	$201,978
ALNT	Allient Inc	1,613	$180,010
BFLY	Butterfly Network, Inc.	18,633	$166,951
FSLY	Fastly, Inc.	6,401	$164,313
PLSE	Pulse Biosciences, Inc.	3,227	$161,091
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
IPGP	Ipg Photonics Corp	8,763	$1,028,075
IBTL	iShares iBonds Dec 2031 Term Treasury ETF	33,344	$673,215
WHR	Whirlpool Corp	16,484	$649,799
IESC	IES Holdings, Inc.	657	$482,671
THO	Thor Industries Inc	5,034	$378,355
REAL	TheRealReal, Inc.	22,278	$262,657
ROAD	Construction Partners, Inc.	2,169	$257,612
OUT	OUTFRONT Media Inc.	6,754	$221,261
CDNL	Cardinal Infrastructure Group Inc.	2,338	$220,239
ACA	Arcosa, Inc.	1,500	$217,935
NOVT	Novanta Inc	1,222	$198,257
PATH	UiPath, Inc.	16,000	$173,920
SCHV	Schwab U.S. Large-Cap Value ETF	4,430	$154,208
OPLN	OPENLANE, Inc.	3,521	$145,206
ASTE	Astec Industries Inc	2,214	$135,474
RXO	RXO, Inc.	4,231	$116,733
WSC	WillScot Holdings Corp	3,869	$111,659
CYD	China Yuchai International Ltd	2,143	$101,599
CNK	Cinemark Holdings, Inc.	2,350	$74,565
—		946	$72,293
ARWR	Arrowhead Pharmaceuticals, Inc.	776	$63,251
QMNV	FT Vest Nasdaq-100 Moderate Buffer ETF - November	2,447	$61,395
GDEC	FT Vest U.S. Equity Moderate Buffer ETF - December	1,525	$60,701
RBRK	Rubrik, Inc.	700	$56,196
—		1,728	$52,462
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

2,432 tracked positions · $1,412,039,988 total · filing declares 2,480 positions · $1,467,619,820 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 2,432 positions by value · page 1 of 49

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
AAPL	Apple Inc. Technology	Reduced	127,575	-9,554	$42,485,026	+7.1%	3.01%
SPY	Spdr S&P 500 ETF Trust	Reduced	45,086	-489	$34,383,936	+1.0%	2.44%
SPYM	State Street(R) SPDR(R) Portfolio S&P 500(R) ETF	Reduced	368,804	-10,149	$33,103,847	−0.6%	2.34%
VOO	VANGUARD 500 INDEX FUND	Added	42,093	+1,508	$29,501,299	+5.8%	2.09%
MSFT	Microsoft Corp Technology	Reduced	50,941	-3,337	$26,127,638	+29.0%	1.85%
NVDA	Nvidia Corp Technology	Reduced	105,779	-287	$24,157,808	+13.8%	1.71%
AMZN	Amazon Com Inc Consumer Cyclical	Reduced	72,826	-1,862	$18,144,597	+1.9%	1.28%
GOOGL	Alphabet Inc. Communication Services	Reduced	49,260	-7,304	$16,949,380	−16.2%	1.20%
IVV	iShares Core S&P 500 ETF	Added	21,537	+945	$16,494,111	+7.0%	1.17%
AVGO	Broadcom Inc. Technology	Reduced	46,520	-1,236	$16,337,358	−9.4%	1.16%
QQQ	Invesco Qqq Trust, Series 1	Added	19,480	+2,139	$14,410,719	+12.8%	1.02%
VEA	Vanguard FTSE Developed Markets ETF	Added	190,975	+13,766	$13,484,744	+6.8%	0.95%
SPDW	State Street(R) SPDR(R) Portfolio Developed World ex-US ETF	Added	254,166	+33,673	$12,761,674	+14.9%	0.90%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	37,604	-1,511	$12,440,531	−2.8%	0.88%
SPAB	State Street(R) SPDR(R) Portfolio Aggregate Bond ETF	Added	435,267	+67,712	$10,603,104	+13.0%	0.75%
V	Visa Inc. Financial Services	Added	29,360	+9	$10,549,928	+4.8%	0.75%
AGG	iShares Core U.S. Aggregate Bond ETF	Added	99,702	+18,678	$9,425,827	+17.5%	0.67%
SPIB	State Street(R) SPDR(R) Portfolio Intermediate Term Corporate Bond ETF	Added	289,555	+9,556	$9,346,835	−0.2%	0.66%
QGRW	WisdomTree U.S. Quality Growth Fund	Added	135,434	+4,314	$9,301,607	+7.4%	0.66%
WMT	Walmart Inc. Consumer Defensive	Reduced	86,572	-1,714	$8,996,562	−10.0%	0.64%
JNJ	Johnson & Johnson Healthcare	Added	33,753	+398	$8,935,769	+5.5%	0.63%
NEE	Nextera Energy Inc Utilities	Added	111,954	+350	$8,479,395	−13.4%	0.60%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Added	22,408	+471	$8,385,969	+3.3%	0.59%
PWR	Quanta Services, Inc. Industrials	Added	11,647	+414	$7,483,313	−7.5%	0.53%
MU	Micron Technology Inc Technology	Reduced	6,926	-19	$7,376,951	−8.0%	0.52%
PG	PROCTER & GAMBLE Co Consumer Defensive	Reduced	49,711	-39	$7,222,014	−1.0%	0.51%
GOOG	Alphabet Inc. Communication Services	Reduced	20,640	-2,886	$7,032,873	−15.4%	0.50%
META	Meta Platforms, Inc. Communication Services	Added	9,571	+82	$6,940,697	+29.9%	0.49%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Added	87,242	+979	$6,831,921	−4.2%	0.48%
XOM	ExxonMobil Holdings Corp Energy	Added	41,769	+153	$6,797,904	+19.5%	0.48%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Reduced	34,441	-725	$6,741,825	+0.6%	0.48%
WMB	Williams Companies, Inc. Energy	Added	98,360	+369	$6,685,529	−8.2%	0.47%
GLW	Corning Inc Technology	Added	40,773	+14,880	$6,269,256	−5.2%	0.44%
MS	Morgan Stanley Financial Services	Reduced	33,319	-492	$6,266,637	−11.3%	0.44%
DTM	DT Midstream, Inc. Energy	Added	52,260	+284	$6,243,502	−18.1%	0.44%
JCI	Johnson Controls International plc Industrials	Added	41,907	+290	$6,229,475	+2.4%	0.44%
PH	Parker-Hannifin Corp Industrials	Reduced	6,489	-63	$6,199,720	−3.3%	0.44%
SPYV	State Street(R) SPDR(R) Portfolio S&P 500(R) Value ETF	Added	100,649	+15,119	$6,152,673	+18.3%	0.44%
LLY	ELI LILLY & Co Healthcare	Reduced	5,221	-278	$6,041,114	−8.4%	0.43%
IAU	Ishares Gold Trust	Added	75,625	+6,090	$5,906,312	+12.5%	0.42%
VEU	Vanguard International Equity Index Funds	Added	70,900	+3,044	$5,882,573	+3.5%	0.42%
DGRW	WisdomTree U.S. Quality Dividend Growth Fund	Reduced	58,649	-2,416	$5,703,028	−2.3%	0.40%
IWD	iShares Russell 1000 Value ETF	Added	22,804	+3,629	$5,653,795	+21.6%	0.40%
CB	Chubb Ltd Financial Services	Added	17,095	+46	$5,560,148	−4.3%	0.39%
SCHW	Schwab Charles Corp Financial Services	Added	54,788	+773	$5,354,979	+7.4%	0.38%
IJH	iShares Core S&P Mid-Cap ETF	Added	74,282	+2,228	$5,344,589	−3.8%	0.38%
IWF	iShares Russell 1000 Growth ETF	Reduced	42,334	-1,215	$5,302,756	−1.9%	0.38%
IWM	iShares Russell 2000 ETF	Added	18,820	+806	$5,229,889	−3.4%	0.37%
MRK	Merck & Co., Inc. Healthcare	Reduced	35,590	-2,300	$5,171,582	+6.2%	0.37%
CVX	Chevron Corp Energy	Added	25,059	+401	$5,117,298	+25.2%	0.36%

Showing the top 50 of 2,432 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.