AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

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.

Pricing
For Advisors
KH

Kristin A. Hobbs

NBC SECURITIES
Louisville, KY 40207
Some features on this profile are disabled
CRD#: 4657191
KH

Professional summary

Kristin Ann Hobbs, who also goes by Kristin Ann Garrett, Kristin Ann Koch, is a registered financial professional currently at NBC SECURITIES, INC. located in Louisville, Kentucky.

Kristin is registered as a RR (Registered Representative) and started their career in finance in 2003. Kristin has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kristin Ann Garrett | Kristin Ann Koch

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) - BD

Click below to view Kristin Ann Hobbs'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

August 14, 2025 - Present

NBC SECURITIES, INC.

Office #1: 4350 Brownsboro Road Suite 110, Louisville, KY 40207
RIA
BD
CRD#: 17870
Louisville, KY
Past

February 15, 2008 - August 14, 2025

L.M. KOHN & COMPANY

BD
CRD#: 27913
CINCINNATI, OH
Past

October 28, 2003 - February 5, 2008

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
HAMILTON, OH

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.

RR
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

RR
Kentucky
(8/14/2025)
RR
Ohio
(8/14/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/28/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/27/2003
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/30/2012
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 17870Louisville, KY 40207

TRUST BUT VERIFY

Monitor Kristin Hobbs

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

TD
Trystan DowneyAdvisorCheck Check Mark
CERITY PARTNERS LLC
IAR
LOUISVILLE, KY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.