Leslie A. Penka

DAI WEALTH

LENEXA, KS

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CRD#: 4535565

Professional summary

Leslie Anne Penka, who also goes by Leslie Anne Bullard, Leslie Anne Penka, is a registered financial advisor currently at DAI WEALTH, LLC located in Lenexa, Kansas and DAI SECURITIES, LLC located in Atlanta, Georgia.

Leslie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Leslie has worked at 10 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leslie Anne Bullard | Leslie Anne Penka

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. 12/2021 - DBA for LPL Business (entity for LPL business) - GWM Advisors - Investment Related - Lenexa, KS 66227 2. 04/13/2022 - NewEdge Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 11/10/2021 - 160 Hours Per Month/ 8 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Anne Penka'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

January 2, 2024 - Present

DAI WEALTH, LLC

RIA

CRD#: 138938

LENEXA, KS

Current

January 4, 2024 - Present

DAI SECURITIES, LLC

Office #1: 2800 Century Parkway Ne Suite 650, Atlanta, GA 30345

CRD#: 36673

Atlanta, GA

Past

July 14, 2023 - December 15, 2023

EXPAND FINANCIAL, LLC

RIA

CRD#: 152515

Lenexa, KS

Past

December 2, 2021 - December 5, 2022

LPL FINANCIAL LLC

CRD#: 6413

LENEXA, KS

Past

November 11, 2021 - November 29, 2022

NEWEDGE ADVISORS

RIA

CRD#: 171351

Lenexa, KS

Past

January 11, 2019 - July 27, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Leawood, KS

Past

March 21, 2018 - July 26, 2021

KEEN WEALTH ADVISORS

RIA

CRD#: 170293

OVERLAND PARK, KS

Past

November 8, 2016 - March 20, 2018

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

Topeka, KS

Past

November 8, 2016 - March 20, 2018

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

Topeka, KS

Past

September 18, 2009 - March 14, 2016

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

September 18, 2009 - March 14, 2016

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

March 13, 2007 - May 4, 2009

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

OVERLAND PARK, KS

Past

March 11, 2004 - May 4, 2009

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

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".

DAI WEALTH, LLC

CRD#: 138938 / SEC#: 801-66260

RIA

Registered Investment Advisory firm - (2/24/2006 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.

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

IAR

Kansas
(1/2/2024)

Kansas
(1/4/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/9/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/12/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/10/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/8/2014

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/31/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DAI WEALTH, LLC

CRD#: 138938 / SEC#: 801-66260

RIA

Registered Investment Advisory firm - (2/24/2006 Approved)

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Contact information

Main Address

2800 Century Parkway Ne Suite 650, Atlanta, GA 30345

Mailing Address

Phone number

(404) 531-7080

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DAI WEALTH ADV PART 2A (7/15/2025)

Regulatory assets under management

Total Number of Accounts	1,821
AUM (Assets Under Management)	$ 267,417,235

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Leslie A. Penka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leslie Anne Penka's CRS (Customer Relationship Summary).

Certified licenses

Experience

DAI SECURITIES, LLC

EXPAND FINANCIAL, LLC

LPL FINANCIAL LLC

NEWEDGE ADVISORS

PURSHE KAPLAN STERLING INVESTMENTS

KEEN WEALTH ADVISORS

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

WADDELL & REED

WADDELL & REED

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

DAI WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/9/2007

Series 63

Date: 5/12/2005

Series 52TO

Date: 1/2/2023

SIE

Date: 3/20/2018

Series 7

Date: 3/10/2004

Series 53

Date: 12/8/2014

Series 24

Date: 3/31/2006

FINRA

Current Firm

DAI WEALTH, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DAI WEALTH, LLC

TRUST BUT VERIFY

Contact information

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