Kimberly A. Tucker

STEPHENS INVESTMENT MANAGEMENT GROUP

Houston, TX 77046

Some features on this profile are disabled

CRD#: 6075350

Professional summary

Kimberly Anne Tucker, who also goes by Kimberly Anne Jones, is a registered financial advisor currently at STEPHENS INVESTMENT MANAGEMENT GROUP, LLC located in Houston, Texas.

Kimberly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Kimberly has worked at 2 firms and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Aliases

Kimberly Anne Jones

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 Anne Tucker's CRS (Customer Relationship Summary).

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

June 29, 2023 - Present

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

Office #1: 9 Greenway Plaza Suite 3120, Houston, TX 77046

RIA

CRD#: 136369

Houston, TX

Past

June 29, 2023 - December 22, 2023

STEPHENS

RIA

CRD#: 3496

HOUSTON, TX

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".

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

SIMG | STEPHENS OF ARKANSAS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP | STEPHENS FUNDS

CRD#: 136369 / SEC#: 801-64675

RIA

Registered Investment Advisory firm - (9/2/2005 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
(6/29/2023)

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 65

Date: 6/29/2023

Uniform Investment Adviser Law Examination

Current Firm

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

SIMG | STEPHENS OF ARKANSAS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP, LLC | STEPHENS INVESTMENT MANAGEMENT GROUP | STEPHENS FUNDS

CRD#: 136369 / SEC#: 801-64675

RIA

Registered Investment Advisory firm - (9/2/2005 Approved)

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Contact information

Main Address

111 Center Street, Little Rock, AR 72201

Mailing Address

Phone number

(800) 458-6589

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC (1/30/2026)

Regulatory assets under management

Total Number of Accounts	174
AUM (Assets Under Management)	$ 7,637,388,860

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/17/2026	Cover Page	Report
01/22/2025	Cover Page	Report
02/07/2024	Cover Page	Report

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. Tucker

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kimberly Anne Tucker's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

STEPHENS

Primary Firm SEC Registration

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2023

Current Firm

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STEPHENS INVESTMENT MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

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