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Penny Kelley

Nfsg Corporation
39 Years of Experience
Roswell, NM
1 DisclosureBrokerSells Insurance
View SEC Summary
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Penny Kelley is a registered investment advisor at Nfsg Corporation, based in Roswell, NM, with 39 years of industry experience. Penny is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 3,096 clients with $1.1B in assets under management.

Nfsg Corporation
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
76 advisors
Number of Clients
3,096 clients
Average Client Portfolio
$350K average
Assets Under Management
$1.1B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Annual fee of up to 2% based on assets under management, with a minimum annual charge of $250.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Roswell, NM

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
December 2019
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Penny is the owner/president of Roswell Osteopathic Medical and owner of Kelley Pharmacy, dedicating about 10-20% of her time to each. She also serves as President/Owner of Roswell C.A.R.E, spending minimal time on this activity, and is an insurance agent.

Employment History
Current Registrations
Nfsg Corporation
December 2019 - Present · 6 yrs 10 mos
Newbridge Securities CorporationBroker
December 2019 - Present · 6 yrs 10 mos
Newbridge Securities Corporation
December 2019 - Present · 6 yrs 10 mos
Previous Registrations
LPL Financial LLC
December 2012 - December 2019 · 7 yrs
LPL Financial LLCBroker
December 2012 - December 2019 · 7 yrs
Wells Fargo Advisors, LLCBroker
January 2008 - December 2012 · 4 yrs 11 mos
Wells Fargo Advisors, LLC
January 2008 - December 2012 · 4 yrs 11 mos
A. G. Edwards & Sons, INC.
February 2007 - January 2008 · 11 mos
A. G. Edwards & Sons, INC.Broker
August 2005 - January 2008 · 2 yrs 5 mos
A. G. Edwards & Sons, INC.Broker
July 2002 - December 2003 · 1 yr 5 mos
Linsco/private Ledger CORP.Broker
March 1993 - September 2000 · 7 yrs 6 mos
A. G. Edwards & Sons, INC.Broker
September 1988 - May 1991 · 2 yrs 8 mos
Shearson Lehman Hutton INC.Broker
May 1988 - October 1988 · 5 mos
E. F. Hutton & Company INCBroker
November 1981 - May 1988 · 6 yrs 6 mos
State Registrations5 states
AZCONDNMTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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