Leslie Penka
Professional Summary
Leslie 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...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Leslie Anne Bullard, Leslie Anne Penka
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | PARAGON WEALTH COUNSELORS | MICHALETZ ADVISORS, INC. | MERIT INVESTMENT SERVICES | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.
Contact Information
Main Address
2800 Century Parkway Ne Suite 650, Atlanta, GA 30345Phone Number
(404) 531-7080# of Employees
40SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
2,048AUM (Assets Under Management)
$329,951,743Similar Advisors
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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.
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Primary Firm SEC Registration
CREATIVE FINANCIAL STRATEGIES LLC | WESTERN PORTFOLIO PARTNERS | WAYPOINT WEALTH STRATEGIES | SOURCENET INVESTMENT SERVICES LLC | RVP II CONSULTING | PARAGON WEALTH COUNSELORS | MICHALETZ ADVISORS, INC. | MERIT INVESTMENT SERVICES | JOHN GALT WEALTH SOLUTIONS | GOOD COUNSEL WEALTH MANAGEMENT LLC | DISCIPLINE ADVISORS, INC. | DISCIPLINE ADVISORS, INC | DISCIPLINE ADVISORS | DAI WEALTH, LLC | DAI WEALTH, INC.
State Registrations and Notice Filings
(1/2/2024)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Leslie Penka's CRS (Customer Relationship Summary).
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