Kevin N. Tucker

PROACTIVE CAPITAL MANAGEMENT

Topeka, KS 66604

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CRD#: 871723

Professional summary

Kevin Nelson Tucker, CFP® is a registered financial advisor currently at PROACTIVE CAPITAL MANAGEMENT, INC. located in Topeka, Kansas.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1979. Kevin has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 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.

1) RESIDENTIAL RENTAL PROPERTY 2216 SW MACVICAR AVE, TOPEKA, KS 66611 BEGAN 7/1/09 AS A OWNER. OWN A HOME THAT WE RENT TO OUR DAUGHTER. NOT INVESTMENT RELATED. NON-PROFIT. DEVOTES 50 HRS/YR AND NONE DURING TRADING HRS. 2)MOST PURE HEART OF MARY CATHOLIC CHURCH FOUNDATION, 1800 SW STONE, TOPEKA, KS 66604. BEGAN 6/1/2013 AS BOARD MEMBER AT LARGE. NOT INVESTMENT RELATED. DEVOTES 8 HOURS/YEAR, 8 HOURS DURING TRADING. NON-PROFIT ORGANIZATION. 3) CATHOLIC FOUNDATION OF NORTHEAST KANSAS, 12615 PARALLEL PARKWAY KANSAS CITY,KS. 01/01/2017 BOARD MEMBER OF A NON-PUBLIC ENTITY. NOT INVESTMENT RELATED, 20/YEARLY, 2/TRADE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Nelson 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®

CFP^®

Certified Financial Planner

Experience

Current

January 10, 2021 - Present

PROACTIVE CAPITAL MANAGEMENT, INC.

Office #1: 1414 Sw Ashworth Place Suite 200, Topeka, KS 66604

RIA

CRD#: 297791

Topeka, KS

Past

February 22, 2011 - December 31, 2020

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

TOPEKA, KS

Past

August 3, 1998 - December 31, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

TOPEKA, KS

Past

March 12, 1993 - May 3, 2011

TUCKER FINANCIAL SERVICES

RIA

CRD#: 114954

TOPEKA, KS

Past

January 2, 1992 - July 31, 1998

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

June 1, 1987 - January 6, 1992

REEVES AND COMPANY, INVESTMENTS AND SECURITIES, INC.

CRD#: 14311

Past

July 30, 1985 - June 12, 1987

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Past

February 14, 1983 - August 12, 1985

FSC SECURITIES CORPORATION

CRD#: 7461

Past

September 24, 1979 - February 22, 1983

WADDELL & REED

CRD#: 866

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".

PROACTIVE CAPITAL MANAGEMENT, INC.

CRD#: 297791 / SEC#: 801-128137

RIA

Registered Investment Advisory firm - (6/9/2023 Approved)

Kansas

Registered Investment Advisory firm - (6/21/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/21/2023 Terminated)

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.

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

Kansas
(1/10/2021)

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

Series 63

Date: 9/14/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 9/14/1979

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/1992

General Securities Principal Examination

Current Firm

PROACTIVE CAPITAL MANAGEMENT, INC.

CRD#: 297791 / SEC#: 801-128137

RIA

Registered Investment Advisory firm - (6/9/2023 Approved)

Kansas

Registered Investment Advisory firm - (6/21/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/21/2023 Terminated)

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Contact information

Main Address

1414 Sw Ashworth Place Suite 200, Topeka, KS 66604

Mailing Address

Phone number

(785) 215-8080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B-PROACTIVE CAPITAL MANAGEMENT INC (1/24/2025)

Regulatory assets under management

Total Number of Accounts	601
AUM (Assets Under Management)	$ 151,549,748

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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Kevin N. Tucker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Nelson Tucker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

TUCKER FINANCIAL SERVICES

SECURITIES AMERICA, INC.

REEVES AND COMPANY, INVESTMENTS AND SECURITIES, INC.

CETERA WEALTH SERVICES, LLC

FSC SECURITIES CORPORATION

WADDELL & REED

Primary Firm SEC Registration

PROACTIVE CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/1979

SIE

Date: 12/31/2017

Series 7

Date: 6/18/1983

Series 1

Date: 9/14/1979

Series 24

Date: 3/26/1992

Current Firm

PROACTIVE CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROACTIVE CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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