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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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KP

Kelly S. Paton

Some features on this profile are disabled
CRD#: 4128465
KP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kelly Scott Paton, who also goes by Kelly S Paton, was a registered financial professional .

Kelly is a previously registered financial professional and started their career in finance in 2000. Kelly had worked at 10 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kelly S Paton

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 24, 2011 - March 1, 2018

NBC SECURITIES, INC.

RIA
CRD#: 17870
OCALA, FL
Past

May 19, 2011 - March 1, 2018

NBC SECURITIES, INC.

BD
CRD#: 17870
OCALA, FL
Past

March 19, 2010 - May 11, 2011

LPL FINANCIAL LLC

RIA
CRD#: 6413
PALM CITY, FL
Past

March 17, 2010 - May 11, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
PALM CITY, FL
Past

October 28, 2009 - March 2, 2010

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
PALM BEACH GARDENS, FL
Past

October 21, 2009 - March 2, 2010

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
PALM BEACH GARDENS, FL
Past

March 4, 2008 - October 23, 2009

LPL FINANCIAL LLC

RIA
CRD#: 6413
PALM CITY, FL
Past

March 4, 2008 - October 23, 2009

LPL FINANCIAL LLC

BD
CRD#: 6413
PALM CITY, FL
Past

April 18, 2007 - March 4, 2008

IFMG SECURITIES, INC.

RIA
CRD#: 14416
PALM BEACH GARDENS, FL
Past

April 17, 2007 - March 4, 2008

IFMG SECURITIES, INC.

BD
CRD#: 14416
PALM BEACH GARDENS, FL
Past

March 28, 2007 - April 12, 2007

NATCITY INVESTMENTS, INC.

RIA
CRD#: 17490
STUART, FL
Past

March 9, 2007 - April 12, 2007

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
STUART, FL
Past

February 17, 2006 - March 28, 2007

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
JUNO BEACH, FL
Past

February 17, 2005 - February 22, 2006

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
CHESTER, VT
Past

January 14, 2005 - February 22, 2006

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
ST. CLOUD, MN
Past

August 6, 2002 - January 3, 2005

CHITTENDEN SECURITIES, LLC.

RIA
CRD#: 45190
BRATTLEBORO, VT
Past

July 29, 2002 - January 3, 2005

CHITTENDEN SECURITIES, LLC.

BD
CRD#: 45190
BURLINGTON, VT
Past

June 19, 2000 - July 16, 2002

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
BURLINGTON, VT
Past

April 3, 2000 - July 16, 2002

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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".
NS
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)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/11/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 4/17/2000
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/2000
General Securities Representative Examination

Current Firm

NS
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)
BD
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
68

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
NBCS HOLDINGS, LLCSHAREHOLDER
CONWAY, PAMELA SUEVICE PRESIDENT2228251
DOODY, JOHN ROBERT JRPRESIDENT AND CEO1703990
ELDER, DOUG JAMESSVP - SALES MANAGER2358111
FALKENBURG, FRANK BENNERMANAGING DIRECTOR204097
MILLER, HAROLD BLAINECHIEF COMPLIANCE OFFICER4214267
RANSOM, SAMUEL DOUGLASCHIEF FINANCIAL OFFICER7690378

Regulatory assets under management

Total Number of Accounts4,545
AUM (Assets Under Management)$ 1,715,376,867

Disclosures

Regulatory Event6

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.

Company Information

NBC SECURITIES, INC.

CRD#: 17870

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