John Doody is a CFA-designated registered investment advisor at Nbc Securities, INC., based in Birmingham, AL, with 26 years of industry experience. John operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 4,545 clients with $1.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
NBC Securities offers investment management through various programs. The fees are based on a percentage of your assets, typically ranging from 0.50% to 2.50% annually, depending on the investment manager selected, the size of your portfolio, and the complexity of the services. Minimum program fees may apply. These fees generally cover the advisory services, investment manager fees, and transaction costs, but there may be additional charges for brokerage commissions, margin interest, and custody fees. Some programs offer trade allotments with no transaction fees, while others charge per transaction.
Location
1927 1st Avenue North, Birmingham, AL, 35203-0686
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Nbc Securities, INC.
Nbc Securities, INC.Broker
Previous Registrations
Alps Distributors, INC.Broker
Highland Associates INC
Highland Information Services, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.