Kimberly N. Ellis

FISHER\SMB

PLANO, TX 75093

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CRD#: 5728485

Professional summary

Kimberly Nicole Ellis is a registered financial advisor currently at FISHER\SMB located in Plano, Texas.

Kimberly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Kimberly has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Kimberly Nicole Ellis'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®

None

Experience

Current

August 31, 2025 - Present

FISHER\SMB

Office #1: 6404 International Parkway Suite 1100, Plano, TX 75093

RIA

CRD#: 331205

PLANO, TX

Past

May 21, 2025 - August 24, 2025

FISHER\SMB

RIA

CRD#: 331205

VANCOUVER, WA

Past

July 23, 2014 - July 3, 2024

FISHER INVESTMENTS

RIA

CRD#: 107342

Camas, WA

Past

January 29, 2013 - July 15, 2014

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

PORTLAND, OR

Past

January 25, 2013 - July 15, 2014

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

PORTLAND, OR

Past

April 23, 2012 - December 18, 2012

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

LAKE OSWEGO, OR

Past

April 23, 2012 - December 18, 2012

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

LAKE OSWEGO, OR

Past

December 23, 2009 - March 22, 2012

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

UPLAND, CA

Past

November 26, 2009 - March 22, 2012

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

UPLAND, CA

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".

FISHER\SMB

FISHER RETIREMENT SOLUTIONS LLC | FISHER\SMB

CRD#: 331205 / SEC#: 801-130272

RIA

Registered Investment Advisory firm - (5/31/2024 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
(8/31/2025)

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

State Security Law Exam

IAR

Series 66

Date: 12/22/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/25/2009

General Securities Representative Examination

Current Firm

FISHER\SMB

FISHER RETIREMENT SOLUTIONS LLC | FISHER\SMB

CRD#: 331205 / SEC#: 801-130272

RIA

Registered Investment Advisory firm - (5/31/2024 Approved)

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Contact information

Main Address

6404 International Parkway Suite 1100, Plano, TX 75093

Mailing Address

Phone number

(888) 674-4504

Established

Firm type

Fiscal year end

# of Employees

133

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (6/20/2025)

Regulatory assets under management

Total Number of Accounts	1,768
AUM (Assets Under Management)	$ 5,461,349,416

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 N. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Nicole Ellis's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER\SMB

FISHER INVESTMENTS

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

FISHER\SMB

State Registrations and Notice Filings

Exams

Series 66

Date: 12/22/2009

Series 7

Date: 11/25/2009

Current Firm

FISHER\SMB

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FISHER\SMB

TRUST BUT VERIFY

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