Kimberly A. Johnson

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CRD#: 5180028

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kimberly Ann Johnson, who also goes by Kimberly Ann Carpenter, was a registered financial professional .

Kimberly is a previously registered financial professional and started their career in finance in 2006. Kimberly had worked at 1 firm and has passed the SIE, Series 99TO and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kimberly Ann Carpenter

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 6, 2006 - January 6, 2025

HORACE MANN INVESTORS, INC.

CRD#: 11643

SPRINGFIELD, IL

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".

HORACE MANN INVESTORS, INC.

CRD#: 11643 / SEC#: 801-80964, 8-6082

RIA

Registered Investment Advisory firm - SEC (2/23/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (10/21/2009 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/29/2010 Terminated)

Indiana

Registered Investment Advisory firm - SEC (10/26/2009 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/26/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/30/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Ohio

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/18/2009 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (11/20/2009 Terminated)

Virginia

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

Principal/Supervisory Exam

Series 27

Date: 11/3/2006

Financial and Operations Principal Examination

Current Firm

HORACE MANN INVESTORS, INC.

CRD#: 11643 / SEC#: 801-80964, 8-6082

RIA

Registered Investment Advisory firm - SEC (2/23/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (10/21/2009 Terminated)

Georgia

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/29/2010 Terminated)

Indiana

Registered Investment Advisory firm - SEC (10/26/2009 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (6/26/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/30/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Ohio

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/18/2009 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (11/20/2009 Terminated)

Virginia

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (5/13/2009 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

One Horace Mann Plaza, Springfield, IL 62715-0001

Mailing Address

One Horace Mann Plaza, Springfield, IL 62715-0001

Phone number

(217) 789-2500

Established

Maryland since 05/21/1957

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HMII ADV PART 2 BROCHURE MARCH 2024 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
HORACE MANN EDUCATORS CORPORATION (PUBLICLY HELD COMPANY)	CORPORATION - PARENT COMPANY
GARLATTI, JEFFREY	NATIONAL SALES MANAGER	5670941
GAYLE, TROY MARSHALL	TREASURER	5925156
MICHAEL, LINEA KATE	SECRETARY	5791549
TAYLOR, HOLLEY WATSON	PRESIDENT AND CHIEF COMPLIANCE OFFICER	4171040
TSAI, PHYLLIS	FINOP, PFO, POO	7200380

Disclosures

Regulatory Event

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.

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Kimberly A. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HORACE MANN INVESTORS, INC.

Primary Firm SEC Registration

HORACE MANN INVESTORS, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 27

Date: 11/3/2006

Current Firm

HORACE MANN INVESTORS, INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HORACE MANN INVESTORS, INC.

TRUST BUT VERIFY

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