Lisa Sumpter is a CFP-designated registered investment advisor at Nbc Securities, INC., based in Farmington, MO, with 25 years of industry experience. Lisa 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
201 E Columbia St, Farmington, MO, 63640
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Lisa is a partner in Liberty Pastures, a cattle farming business, spending a few hours per week on it. She also co-owns a rental property through ML Sumpter Properties LLC, dedicating minimal time to paying the mortgage, depositing rent checks, and shopping for supplies.
Employment History
Current Registrations
Nbc Securities, INC.Broker
Nbc Securities, INC.
Previous Registrations
First State Financial Management
First State Financial Management, INC.Broker
Money Concepts Capital CORPBroker
Money Concepts Capital CORP
U.S. Bancorp Investments, INC.
U.S. Bancorp Investments, INC.Broker
Firstar Investment Services,inc.Broker
State Registrations13 states
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.