Kelly S. Penn

NEW WAVE WEALTH ADVISORS

Springdale, AR 72764

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CRD#: 4183432

Professional summary

Kelly Sue Penn, who also goes by Kelly Sue Birch, Kelly Sue King, Kelly Sue Thomas, is a registered financial advisor currently at NEW WAVE WEALTH ADVISORS located in Springdale, Arkansas.

Kelly is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Kelly has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kelly Sue Birch | Kelly Sue King | Kelly Sue Thomas

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) 1. New Wave Wealth Advisors 2. Investment related 3. 4403 S. Thompson St. Ste 1 Springdale, AR 72764. 4. RIA 5. Investment Specialist 6. 5/2021 7. 160 hrs/mo 8. 130 hrs during trading 9. I provide administrative support for advisors 2) 1. City of Farmington 2. Not investment related 3. 354 West Main St., Farmington, AR 72730 4. Municipal Government 5. City Clerk (Elected Official 6. 01/01/2007 7. 8 hrs/mo 8. 1 hr during trading 9. Keep minutes of meetings, present budget & financial reports, contract and bid openings, not investment related 10. Salary

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Sue Penn'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

May 16, 2023 - Present

NEW WAVE WEALTH ADVISORS

Office #1: 4403 S Thompson St, Ste 1, Springdale, AR 72764

RIA

CRD#: 323414

Springdale, AR

Past

December 14, 2021 - December 21, 2023

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Springdale, AR

Past

May 11, 2020 - December 31, 2022

SOWELL MANAGEMENT

RIA

CRD#: 127145

Springdale, AR

Past

November 20, 2013 - March 30, 2020

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

FAYETTEVILLE, AR

Past

November 15, 2013 - March 30, 2020

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

FAYETTEVILLE, AR

Past

August 28, 2001 - November 20, 2013

STEPHENS

RIA

CRD#: 3496

FAYETTEVILLE, AR

Past

March 6, 2001 - November 20, 2013

STEPHENS

CRD#: 3496

FAYETTEVILLE, AR

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".

NEW WAVE WEALTH ADVISORS

NEW WAVE WEALTH ADVISORS | NEW WEALTH ADVISORS | NEW WAVE WEALTH ADVISORS LLC

CRD#: 323414 / SEC#: 801-126788

RIA

Registered Investment Advisory firm - (10/25/2022 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

Arkansas
(5/16/2023)

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 66

Date: 4/26/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/5/2001

General Securities Representative Examination

Current Firm

NEW WAVE WEALTH ADVISORS

NEW WAVE WEALTH ADVISORS | NEW WEALTH ADVISORS | NEW WAVE WEALTH ADVISORS LLC

CRD#: 323414 / SEC#: 801-126788

RIA

Registered Investment Advisory firm - (10/25/2022 Approved)

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Contact information

Main Address

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

Mailing Address

Phone number

(479) 877-2525

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NEW WAVE WEALTH ADVISORS PART 2A (2/18/2025)

Regulatory assets under management

Total Number of Accounts	1,253
AUM (Assets Under Management)	$ 315,005,818

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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Advisor Monitoring

Firm Stability Insights

Kelly S. Penn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Sue Penn's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

SOWELL MANAGEMENT

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

STEPHENS

STEPHENS

Primary Firm SEC Registration

NEW WAVE WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 4/26/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/5/2001

Current Firm

NEW WAVE WEALTH ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEW WAVE WEALTH ADVISORS

TRUST BUT VERIFY

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