Joseph Oberschewen

NBC SECURITIES

SUMMIT, NJ 07901

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CRD#: 2231576

Professional summary

Joseph Oberschewen is a registered financial advisor currently at NBC SECURITIES, INC. located in Summit, New Jersey.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 22, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Oberschewen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Joseph Oberschewen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 31, 2015 - Present

NBC SECURITIES, INC.

Office #1: 18-22 Bank Street Suite 108, Summit, NJ 07901Office #2: 4350 Brownsboro Road Suite 110, Louisville, KY 40207

RIA

CRD#: 17870

SUMMIT, NJ

Current

July 31, 2015 - Present

NBC SECURITIES, INC.

Office #1: 18-22 Bank Street Suite 108, Summit, NJ 07901Office #2: 4350 Brownsboro Road Suite 110, Louisville, KY 40207

RIA

CRD#: 17870

SUMMIT, NJ

Past

April 11, 2012 - July 31, 2015

JHS CAPITAL ADVISORS, LLC

RIA

CRD#: 112097

SUMMIT, NJ

Past

April 10, 2012 - July 31, 2015

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

SUMMIT, NJ

Past

May 21, 2009 - April 11, 2012

PAULSON INVESTMENT COMPANY LLC

RIA

CRD#: 5670

NEW YORK, NY

Past

September 20, 2002 - April 11, 2012

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

NEW YORK, NY

Past

November 20, 2001 - September 6, 2002

WEATHERLY SECURITIES CORPORATION

CRD#: 11081

NEW YORK, NY

Past

September 13, 1993 - November 26, 2001

BLUESTONE CAPITAL CORP.

CRD#: 13516

NEW YORK, NY

Past

May 11, 1992 - August 7, 1993

EVERGREEN SECURITIES, INC.

CRD#: 15596

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NBC SECURITIES, INC.

NBC COMMERCE INVESTMENTS | POSEY, BENNERS & SELLERS, INC. | NBC SECURITIES, INC.

CRD#: 17870 / SEC#: 801-58257, 8-35870

RIA

Registered Investment Advisory firm - SEC (1/3/2001 Approved)

Alabama

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

California

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Colorado

Registered Investment Advisory firm - SEC (5/18/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Illinois

Registered Investment Advisory firm - SEC (6/25/2001 Terminated)

Iowa

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

New York

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/15/2001 Terminated)

Virginia

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(11/14/2019)

California
(7/31/2015)

Colorado
(3/3/2020)

Florida
(7/31/2015)

Idaho
(5/12/2016)

Illinois
(7/31/2015)

Iowa
(8/17/2015)

Maine
(1/2/2024)

Maryland
(7/31/2015)

Massachusetts
(8/14/2015)

Minnesota
(7/31/2015)

New Jersey
(7/31/2015)

IAR

New Jersey
(7/31/2015)

New York
(7/31/2015)

IAR

New York
(1/10/2023)

North Carolina
(9/24/2019)

Texas
(7/31/2015)

Vermont
(8/14/2015)

Virginia
(3/22/2016)

Washington
(8/18/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/8/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/10/1993

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/28/1992

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/28/2004

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 6/19/2002

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/15/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NBC SECURITIES, INC.

NBC COMMERCE INVESTMENTS | POSEY, BENNERS & SELLERS, INC. | NBC SECURITIES, INC.

CRD#: 17870 / SEC#: 801-58257, 8-35870

RIA

Registered Investment Advisory firm - SEC (1/3/2001 Approved)

Alabama

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

California

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Colorado

Registered Investment Advisory firm - SEC (5/18/2001 Terminated)

Florida

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Illinois

Registered Investment Advisory firm - SEC (6/25/2001 Terminated)

Iowa

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Kentucky

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

New York

Registered Investment Advisory firm - SEC (5/31/2001 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (6/15/2001 Terminated)

Virginia

Registered Investment Advisory firm - SEC (5/16/2001 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1927 1st Avenue North, Birmingham, AL 35203

Mailing Address

1927 1st Avenue North, Birmingham, AL 35203-0686

Phone number

(800) 521-9390

Established

Alabama since 03/13/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (53 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NBCS SECURITIES, INC. ADV PART 2 DISCLOSURE BROCHURE (11/5/2025)

Direct owners and executive officers

Name	Position	CRD#
NBCS HOLDINGS, LLC	SHAREHOLDER
CONWAY, PAMELA SUE	VICE PRESIDENT	2228251
DOODY, JOHN ROBERT JR	PRESIDENT AND CEO	1703990
ELDER, DOUG JAMES	SVP - SALES MANAGER	2358111
FALKENBURG, FRANK BENNER	MANAGING DIRECTOR	204097
MILLER, HAROLD BLAINE	CHIEF COMPLIANCE OFFICER	4214267
RANSOM, SAMUEL DOUGLAS	CHIEF FINANCIAL OFFICER	7690378

Regulatory assets under management

Total Number of Accounts	4,545
AUM (Assets Under Management)	$ 1,715,376,867

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Joseph Oberschewen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Oberschewen's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Joseph Oberschewen's CRS (Customer Relationship Summary).

Certified licenses

Experience

NBC SECURITIES, INC.

JHS CAPITAL ADVISORS, LLC

JHS CAPITAL ADVISORS, LLC

PAULSON INVESTMENT COMPANY LLC

PAULSON INVESTMENT COMPANY LLC

WEATHERLY SECURITIES CORPORATION

BLUESTONE CAPITAL CORP.

EVERGREEN SECURITIES, INC.

Primary Firm SEC Registration

NBC SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/8/2009

Series 63

Date: 5/4/1992

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/10/1993

Series 22

Date: 4/28/1992

Series 53

Date: 10/28/2004

Series 4

Date: 6/19/2002

Series 24

Date: 4/15/2002

FINRA

Current Firm

NBC SECURITIES, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NBC SECURITIES, INC.

TRUST BUT VERIFY

Contact information

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