LS
Lisa A. Sumpter
NBC SECURITIES
Farmington, MO 63640
Some features on this profile are disabled
CRD#: 4310148
LS
Professional summary
Lisa Ann Sumpter, CFP®, who also goes by Lisa Ann Johnson, Lisa Ann Wampler, is a registered financial advisor currently at NBC SECURITIES, INC. located in Farmington, Missouri.
Lisa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Lisa has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lisa Ann Johnson | Lisa Ann Wampler
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.
Liberty Pastures, Cattle farming for which I am a partner with my husband. I expect to spend 8 hours per month on the weekends. There is no investments involved and I do not expect this to take time away from my work at FSFM. We began this venture 8/1/2016. My only duties will be to help my husband when needed. ML Sumpter Properties LLC 1021 Tillman Rd Farmington MO, 63640 Rental property 2 hrs per month/0 during trading hrs Spouse and I are purchasing 1 residential property for rental. We will be hiring a property manager to complete the process of finding a tenant once it is ready for rental. There are some improvements needed prior to rental which my spouse will be completing some of the repairs and potentially any future needed repairs. I will likely pay the mortgage payment monthly and potentially deposit rent checks. I could also shop for supplies for repairs.
CRS (Client Relationship Summary) - RIA
Click below to view Lisa Ann Sumpter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lisa Ann Sumpter's 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®
CFP®
Start date: 2008
Experience
Current
June 6, 2019 - Present
NBC SECURITIES, INC.
Office #1: 201 E Columbia St, Farmington, MO 63640RIA
BD
CRD#: 17870
Farmington, MO
Current
June 6, 2019 - Present
NBC SECURITIES, INC.
Office #1: 201 E Columbia St, Farmington, MO 63640RIA
BD
CRD#: 17870
Farmington, MO
Past
February 28, 2007 - June 7, 2019
FIRST STATE FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 16590
FARMINGTON, MO
Past
February 28, 2007 - June 7, 2019
FIRST STATE FINANCIAL MANAGEMENT, INC.
BD
CRD#: 16590
FARMINGTON, MO
Past
August 8, 2006 - March 2, 2007
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
FARMINGTON, MO
Past
August 8, 2006 - March 2, 2007
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
FARMINGTON, MO
Past
February 28, 2006 - August 2, 2006
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
FARMINGTON, MO
Past
December 1, 2001 - August 2, 2006
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
FARMINGTON, MO
Past
December 5, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(1/24/2021)
RR
Arizona(6/6/2019)
IAR
Arizona(2/8/2021)
RR
Arkansas(6/6/2019)
RR
California(1/24/2021)
IAR
California(1/24/2021)
RR
Colorado(1/24/2021)
IAR
Colorado(5/2/2023)
RR
Florida(6/6/2019)
IAR
Florida(4/28/2022)
RR
Illinois(6/6/2019)
IAR
Illinois(1/24/2021)
RR
Indiana(1/24/2021)
RR
Mississippi(8/19/2019)
IAR
Mississippi(8/19/2019)
RR
Missouri(6/6/2019)
IAR
Missouri(6/6/2019)
RR
Ohio(1/25/2021)
RR
Oklahoma(1/24/2021)
RR
Pennsylvania(1/24/2021)
RR
Texas(1/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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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)
FINRA licenses (51 States and Territories)
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 | 6 |
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#: 17870Farmington, MO 63640TRUST BUT VERIFY
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