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Lisa Ann Sumpter

NBC Securities, Inc.

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About Lisa Ann Sumpter

Lisa Sumpter is a financial advisor with NBC Securities, Inc. Lisa has been in the financial industry since 2000. Lisa has a wide range of experience, including experience at FIRST STATE FINANCIAL MANAGEMENT, INC., MONEY CONCEPTS CAPITAL CORP and U.S. BANCORP INVESTMENTS, INC. Lisa specializes in providing financial planning, portfolio management for businesses and individuals and selection of other advisors. Lisa is registered with the following states: Alabama, Arizona, Arkansas, California, Colorado, Florida, Illinois, Indiana, Mississippi, Missouri, Ohio, Oklahoma, Pennsylvania, Tennessee, Texas. Lisa is also registered with the FINRA and the MSRB.

Firm Information

Lisa Sumpter is currently registered with NBC Securities, Inc.. NBC Securities, Inc. is a corporation headquartered in Birmingham, Alabama, that has been in operation since March 13, 1986. The firm provides financial planning, pension consulting, and portfolio management services for individuals, businesses, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. The firm manages approximately $1 billion to $10 billion in assets and has a presence in all 50 states and the District of Columbia.
NBC Securities, Inc.

1927 FIRST AVENUE NORTH

BIRMINGHAM, AL 35203

$1.72B

Assets Under Management

100

Total Clients

83

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Lisa Sumpter’s Registration & Firm History

MO

06/06/2019 - Present

NBC Securities, Inc. (FARMINGTON MO)

MO

02/28/2007 - 06/07/2019

FIRST STATE FINANCIAL MANAGEMENT, INC. (FARMINGTON MO)

MO

08/08/2006 - 03/02/2007

MONEY CONCEPTS CAPITAL CORP (FARMINGTON MO)

MO

12/01/2001 - 08/02/2006

U.S. BANCORP INVESTMENTS, INC. (FARMINGTON MO)

NJ

12/05/2000 - 12/01/2001

FIRSTAR INVESTMENT SERVICES,INC. (MORRIS PLAINS NJ)

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Licenses & Designations

IA

Issued 02/27/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/18/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/2001

Series 7 - General Securities Representative Examination

BC

Issued 12/04/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lisa Ann Sumpter.
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