MT
Michael J. Tucker
SIMPLICITY WEALTH
Stephenville, TX 76401
Some features on this profile are disabled
CRD#: 2861731
MT
Professional summary
Michael James Smith Tucker, who also goes by Mike Tucker, is a registered financial advisor currently at SIMPLICITY WEALTH located in Stephenville, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Michael has worked at 9 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Tucker
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.
Michael Tucker, Inc; investment-related; 4200 S. Hulen, Fort Worth, TX 76109 & 801 S. Harbin, Stephenville, TX 76401; Registered Insurance Agent/Investment Adviser Representative; 07/01/2003,approximate number of hours/month you devote to the other business-40,number of hours you devote to the other business during securities trading hours-40, Investment advisory services/insurance sales. Tucker Financial Services, Inc; investment-related; 4200 S. Hulen, Fort Worth, TX 76109 & 801 S. Harbin, Stephenville, TX 76401; Owner; 07/01/2003,approximate number of hours/month you devote to the other business-40,number of hours you devote to the other business during securities trading hours-40, Investment advisory services/insurance sales. IPA Financial Services, Inc; Investment related; 4200 S. Hulen, Suite 317 Fort Worth, TX 76109 & 801 S. Harbin, Stephenville, TX 76401; Insurance Sales; 09/09/2025; number of hours/month you devote to the other business-30; Consulting and selling fixed life insurance and annuity products, as well as LTCI. Tucker Ranch; not investment related; 5118 W FM 1188 Stephenville TX 7640, Owner; 04/01/2016,approximate number of hours/month you devote to the other business-40,number of hours you devote to the other business during securities trading hours-0, briefly describe your duties relating to the other business-Raise/Sell horses that will become future cutting horses. Duties include feeding, etc. and general ranch work on the weekends. Insurance Planners-Advisors Group, Inc; investment-related; 801 SS Harbin Drive, Stephenville TX 76401; Insurance Agency; Vice President; 07/01/2003,approximate number of hours/month you devote to the other business-130,number of hours you devote to the other business during securities trading hours-50,briefly describe your duties relating to the other business-selling Insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Smith Tucker'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®
NoneExperience
Current
December 11, 2023 - Present
SIMPLICITY WEALTH
Office #1: 801 S Harbin, Stephenville, TX 76401RIA
CRD#: 300572
Stephenville, TX
Past
February 27, 2018 - August 20, 2018
TLG ADVISORS, INC.
RIA
CRD#: 111052
STEPHENVILLE, TX
Past
February 22, 2018 - August 20, 2018
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
June 20, 2016 - February 23, 2018
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
Fort Worth, TX
Past
May 27, 2008 - June 17, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
RIA
CRD#: 15708
FORT WORTH, TX
Past
September 22, 2006 - June 17, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
BD
CRD#: 15708
FORT WORTH, TX
Past
February 10, 2006 - March 4, 2006
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
FT WORTH, TX
Past
January 13, 2006 - October 4, 2006
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
FT WORTH, TX
Past
September 29, 2003 - January 13, 2006
RESOURCE HORIZONS GROUP LLC
BD
CRD#: 104368
MARIETTA, GA
Past
September 17, 1999 - July 16, 2003
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
February 18, 1998 - December 11, 1998
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
November 6, 1997 - January 30, 1998
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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".
SIMPLICITY WEALTH
1ST CHOICE WEALTH | ZARA FINANCIAL GROUP | YAMAN FINANCIAL GROUP | WGD WEALTH MANAGEMENT | WEALTH FOR LIFE | WARD & ASSOCIATES FINANCIAL GROUP | WARD & ASSOCIATES | VOGEL RETIREMENT SOLUTIONS | VISION7 ADVISORY | VELTEN WATERHOUSE ADVISORS | VANTAGE FINANCIAL GROUP | UFC WEALTH | TUCKER FINANCIAL SERVICES | TRIUMPH PLANNING SOLUTIONS LLC | THE WHISLER AGENCY | THE RETIREMENT STRATEGIES | THE CORE FINANCIAL GROUP | THE BINNACLE GROUP | TAYLOR WEALTH AND INSURANCE | TAYLOR WEALTH & INSURANCE | SUMMIT WEALTH DESIGNS | STEWARD FINANCIAL SERVICES | STAYRETIRED WEALTH | SIMPLICITY WEALTH LLC | SIMPLICITY WEALTH | SIMPLICITY SOLUTIONS | SILVER SUMMIT FINANCIAL | SIAMO ADVISORS | SERENITY WEALTH | SENIOR TAX ADVISORY GROUP | SAWTOOTH WEALTH ADVISORS | SAGE FINANCIAL | ROSELAND RETIREMENT PLANNING | ROSELAND | RHOADS AGENCY | RETIREMENT STRATEGIES GROUP | RETIRE PRO | RELIANT WEALTH MANAGEMENT | REABURN CAPITAL | PROTECTIVE WEALTH STRATEGIES | PROTECTED TOMORROWS | PRESTIGE FINANCIAL ADVISORS | PRESTIGE FINANCIAL | PRESERVATION WEALTH CONSULTANTS | PRECISE CAPITAL | PERSONAL ECONOMICS | PEACE OF MIND FINANCE | NORTHLAND FINANCIAL | NORTH AMERICAN FINANCIAL SERVICES | MONETA WEALTH MANAGEMENT | MKH FINANCIAL SERVICES | MERIDIAN WEALTH | MALARIK FINANCIAL SERVICES | MAH FINANCIAL SERVICES | LRM RETIREMENT | LANGFORD WEALTH MANAGEMENT | LAKEVIEW FINANCIAL SOLUTIONS | LAKES FINANCIAL | KRUEGER WEALTH | KING FINANCIAL SERVICES | JUNIPER WEALTH MANAGEMENT | JCHRISTOPHER ADVISORS | INDEPENDENT TRUST WEALTH MANAGEMENT | HUX CAPITAL MANAGEMENT | HOFFMAN WEALTH MANAGEMENT | HINES WEALTH MANAGEMENT | HERMANN FINANCIAL GROUP | HELP PROTECT AND GROW | HEADSAIL FINANCIAL | HATHAWAY INVESTMENTS | H AND W FINANCIAL SERVICES | GUARDIAN WEALTH MANAGEMENT | GREENEFI WEALTH STRATEGIES | GREEN WEALTH MANAGEMENT | GRANITE ROCK WEALTH MANAGEMENT | FRONT PAGE FINANCIAL ADVISORS | FREEDOM WEALTH SERVICES | FREEDOM WEALTH | FRANKLIN HENLEY FINANCIAL | FIRSTFRUITS ASSET MANAGEMENT | FIRST INCOME ADVISORS | FIRST FRUIT ASSET MANAGEMENT | FINANCIAL SECURITY MANAGEMENT AGENCY | FDL FINANCIAL | FAMILY WEALTH AND VESTUS | EXPERITY WEALTH | EVERGREEN RETIREMENT SOLUTIONS | EPERSONAL FINANCIAL | ELITE FINANCIAL PLANNING SERVICES LLC | DREAMCAP INVESTMENTS | DREAM CAP INVESTMENTS | DIVERSIFIED RETIREMENT AND WEALTH | DIAMOND LIFE PLANNING | DAK FINANCIAL GROUP | CREATIVE RETIREMENT PLANNING | CONCEIRGE FINANCIAL | COMMONWEALTH GUARDIANS | CLEAR VISION PLANNING | CHEVALIER WEALTH AND ASSOCIATES | CATHURES WEALTH | CAPSTONE FINANCIAL ASSOCIATES | CAPITAL PLANNING LLC | BTL TAX AND FINANCIAL | BROWNSTONE FINANCIAL GROUP | BRIGHTPATH FINANCIAL | BRETT REID WEALTH | BLUEROCK FINANCIAL MANAGEMENT | BEST INTEREST WEALTH PLANNING | BERGEN FINANCIAL GROUP | BEACON ASSOCIATES | BAYOU CITY FINANCIAL ADVISORS | BANKSTON WEALTH MANAGEMENT | AUGUST H VELTEN & ASSOCIATES | APTUS WEALTH MANAGEMENT | ALWAYS HELPING WM | ABUNDANT LIVING FINANCIAL SERVICES | ABRAMS INSURANCE SOLUTIONS
CRD#: 300572 / SEC#: 801-114798
RIA
Registered Investment Advisory firm - (3/11/2019 Approved)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.Highlighted states indicate IAR registrations
IAR
Texas(12/11/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SIMPLICITY WEALTH
1ST CHOICE WEALTH | ZARA FINANCIAL GROUP | YAMAN FINANCIAL GROUP | WGD WEALTH MANAGEMENT | WEALTH FOR LIFE | WARD & ASSOCIATES FINANCIAL GROUP | WARD & ASSOCIATES | VOGEL RETIREMENT SOLUTIONS | VISION7 ADVISORY | VELTEN WATERHOUSE ADVISORS | VANTAGE FINANCIAL GROUP | UFC WEALTH | TUCKER FINANCIAL SERVICES | TRIUMPH PLANNING SOLUTIONS LLC | THE WHISLER AGENCY | THE RETIREMENT STRATEGIES | THE CORE FINANCIAL GROUP | THE BINNACLE GROUP | TAYLOR WEALTH AND INSURANCE | TAYLOR WEALTH & INSURANCE | SUMMIT WEALTH DESIGNS | STEWARD FINANCIAL SERVICES | STAYRETIRED WEALTH | SIMPLICITY WEALTH LLC | SIMPLICITY WEALTH | SIMPLICITY SOLUTIONS | SILVER SUMMIT FINANCIAL | SIAMO ADVISORS | SERENITY WEALTH | SENIOR TAX ADVISORY GROUP | SAWTOOTH WEALTH ADVISORS | SAGE FINANCIAL | ROSELAND RETIREMENT PLANNING | ROSELAND | RHOADS AGENCY | RETIREMENT STRATEGIES GROUP | RETIRE PRO | RELIANT WEALTH MANAGEMENT | REABURN CAPITAL | PROTECTIVE WEALTH STRATEGIES | PROTECTED TOMORROWS | PRESTIGE FINANCIAL ADVISORS | PRESTIGE FINANCIAL | PRESERVATION WEALTH CONSULTANTS | PRECISE CAPITAL | PERSONAL ECONOMICS | PEACE OF MIND FINANCE | NORTHLAND FINANCIAL | NORTH AMERICAN FINANCIAL SERVICES | MONETA WEALTH MANAGEMENT | MKH FINANCIAL SERVICES | MERIDIAN WEALTH | MALARIK FINANCIAL SERVICES | MAH FINANCIAL SERVICES | LRM RETIREMENT | LANGFORD WEALTH MANAGEMENT | LAKEVIEW FINANCIAL SOLUTIONS | LAKES FINANCIAL | KRUEGER WEALTH | KING FINANCIAL SERVICES | JUNIPER WEALTH MANAGEMENT | JCHRISTOPHER ADVISORS | INDEPENDENT TRUST WEALTH MANAGEMENT | HUX CAPITAL MANAGEMENT | HOFFMAN WEALTH MANAGEMENT | HINES WEALTH MANAGEMENT | HERMANN FINANCIAL GROUP | HELP PROTECT AND GROW | HEADSAIL FINANCIAL | HATHAWAY INVESTMENTS | H AND W FINANCIAL SERVICES | GUARDIAN WEALTH MANAGEMENT | GREENEFI WEALTH STRATEGIES | GREEN WEALTH MANAGEMENT | GRANITE ROCK WEALTH MANAGEMENT | FRONT PAGE FINANCIAL ADVISORS | FREEDOM WEALTH SERVICES | FREEDOM WEALTH | FRANKLIN HENLEY FINANCIAL | FIRSTFRUITS ASSET MANAGEMENT | FIRST INCOME ADVISORS | FIRST FRUIT ASSET MANAGEMENT | FINANCIAL SECURITY MANAGEMENT AGENCY | FDL FINANCIAL | FAMILY WEALTH AND VESTUS | EXPERITY WEALTH | EVERGREEN RETIREMENT SOLUTIONS | EPERSONAL FINANCIAL | ELITE FINANCIAL PLANNING SERVICES LLC | DREAMCAP INVESTMENTS | DREAM CAP INVESTMENTS | DIVERSIFIED RETIREMENT AND WEALTH | DIAMOND LIFE PLANNING | DAK FINANCIAL GROUP | CREATIVE RETIREMENT PLANNING | CONCEIRGE FINANCIAL | COMMONWEALTH GUARDIANS | CLEAR VISION PLANNING | CHEVALIER WEALTH AND ASSOCIATES | CATHURES WEALTH | CAPSTONE FINANCIAL ASSOCIATES | CAPITAL PLANNING LLC | BTL TAX AND FINANCIAL | BROWNSTONE FINANCIAL GROUP | BRIGHTPATH FINANCIAL | BRETT REID WEALTH | BLUEROCK FINANCIAL MANAGEMENT | BEST INTEREST WEALTH PLANNING | BERGEN FINANCIAL GROUP | BEACON ASSOCIATES | BAYOU CITY FINANCIAL ADVISORS | BANKSTON WEALTH MANAGEMENT | AUGUST H VELTEN & ASSOCIATES | APTUS WEALTH MANAGEMENT | ALWAYS HELPING WM | ABUNDANT LIVING FINANCIAL SERVICES | ABRAMS INSURANCE SOLUTIONS
CRD#: 300572 / SEC#: 801-114798
RIA
Registered Investment Advisory firm - (3/11/2019 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
475 Springfield Ave. Suite #1, Summit, NJ 07901
Mailing Address
Phone number
(844) 220-8326
Established
Firm type
Fiscal year end
# of Employees
242
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,573 |
| AUM (Assets Under Management) | $ 3,598,410,848 |
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.
