PK
Penny L. Kelley
NFSG
ROSWELL, NM
Some features on this profile are disabled
CRD#: 1013437
PK
Professional summary
Penny L Kelley, who also goes by Penny Lynn Kelley, Penny Tucker Redman Kelley, Penny L Kelley-baumann, Penny Tucker Redman, is a registered financial advisor currently at NFSG CORPORATION located in Roswell, New Mexico and NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
Penny is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Penny has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Penny Lynn Kelley | Penny Tucker Redman Kelley | Penny L Kelley-Baumann | Penny Tucker Redman
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. 12/18/2012: Roswell Osteopathic Medical - Not Investment Related - Other-Business Owner - Time Spent 10% - Owner, president-medical clinic. 2. 12/18/2012: Kelley Pharmacy - Not Investment Related - Other-Business Owner - Time Spent 10% - Owner-delivery of pharmaceutical products to the public. 3. 12/18/2012: Roswell C.A.R.E - Not Investment Related - Other-Business Owner - Time Spent 1% - President/Owner-collects fees for indigent programs for patient visits. 4. Insurance; Insurance agent - Insurance sales, Roswell, New Mexico.
CRS (Client Relationship Summary) - RIA
Click below to view Penny L Kelley'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®
NoneExperience
Current
December 18, 2019 - Present
NFSG CORPORATION
RIA
CRD#: 130814
ROSWELL, NM
Current
December 17, 2019 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432BD
CRD#: 104065
Boca Raton, FL
Past
December 20, 2012 - December 18, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROSWELL, NM
Past
December 18, 2012 - December 18, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
ROSWELL, NM
Past
January 1, 2008 - December 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ROSWELL, NM
Past
January 1, 2008 - December 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ROSWELL, NM
Past
February 26, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ROSWELL, NM
Past
August 16, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ROSWELL, NM
Past
July 15, 2002 - December 18, 2003
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
March 12, 1993 - September 5, 2000
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
September 19, 1988 - May 20, 1991
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
May 14, 1988 - October 4, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
November 1, 1981 - May 14, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
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".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(8/4/2020)
RR
Colorado(11/5/2020)
RR
New Mexico(12/17/2019)
IAR
New Mexico(12/18/2019)
RR
North Dakota(2/3/2020)
IAR
Texas(1/29/2020)
RR
Texas(2/26/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
