KP
KP

Kelly Sue Penn

24 Years of Experience
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningEducation PlanningFinancial Planning & CoachingInsurance PlanningHigh Net Worth
Compensation
Fee-Only (AUM)
Firm Size
6 advisors
Number of Clients
459 clients
Average Client Portfolio
$686K average
Assets Under Management
$315.0M

Fee Structure

Minimum Investment:None
Financial Planning:Included in AUM fee
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Location

4403 S Thompson St, Ste 1, Springdale, AR, 72764

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Kelly works as an Investment Specialist for New Wave Wealth Advisors, dedicating nearly full-time hours to providing administrative support for advisors. She also serves as an elected City Clerk for the City of Farmington, spending minimal time on tasks such as keeping meeting minutes and presenting financial reports.

Employment History
Current Registrations
New Wave Wealth Advisors
May 2023 - Present · 2 yrs 9 mos
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
December 2021 - December 2023 · 2 yrs
Sowell Management
May 2020 - December 2022 · 2 yrs 7 mos
Raymond James Financial Services Advisors, INC
November 2013 - March 2020 · 6 yrs 4 mos
Raymond James Financial Services, INC.Broker
November 2013 - March 2020 · 6 yrs 4 mos
Stephens
August 2001 - November 2013 · 12 yrs 3 mos
StephensBroker
March 2001 - November 2013 · 12 yrs 8 mos
State Registrations1 state
AR
Advisor
Exams
No exam information available for this advisor.