Neil V. Bales

NBC SECURITIES

Farmington, MO 63640

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CRD#: 5757447

Professional summary

Neil Victor Bales is a registered financial advisor currently at NBC SECURITIES, INC. located in Farmington, Missouri.

Neil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Neil has worked at 2 firms and has passed the Series 65, Series 63, Series 31, SIE, Series 7, Series 24, Series 10 and Series 9 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 Neil Victor Bales's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Neil Victor Bales'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 17, 2023 - Present

NBC SECURITIES, INC.

Office #1: 225 East Columbia Street, Farmington, MO 63640Office #2: 6021 W. Outer Rd., Imperial, MO 63052Office #3: 101 W. Commercial Street, Lebanon, MO 65536Office #4: 201 N. Main St., Sikeston, MO 63801Office #5: 300 Diego Drive, Columbia, MO 65203

RIA

CRD#: 17870

Farmington, MO

Current

July 17, 2023 - Present

NBC SECURITIES, INC.

RIA

CRD#: 17870

Farmington, MO

Past

September 23, 2016 - July 3, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLORADO SPRINGS, CO

Past

February 2, 2012 - July 3, 2023

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLORADO SPRINGS, CO

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

Missouri
(7/17/2023)

IAR

Missouri
(7/17/2023)

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: 9/23/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/25/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 12/6/2018

Futures Managed Funds Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/12/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/16/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 11/17/2016

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/14/2016

General Securities Sales Supervisor - Options Module 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.

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Neil V. Bales

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neil Victor Bales's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Neil Victor Bales's CRS (Customer Relationship Summary).

Certified licenses

Experience

NBC SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

NBC SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/23/2016

Series 63

Date: 1/25/2012

Series 31

Date: 12/6/2018

SIE

Date: 10/1/2018

Series 7

Date: 1/12/2012

Series 24

Date: 8/16/2023

Series 10

Date: 11/17/2016

Series 9

Date: 10/14/2016

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

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