TP
Timothy A. Penner
AGH WEALTH ADVISORS
WICHITA, KS 67202
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CRD#: 4850001
TP
Professional summary
Timothy Aaron Penner is a registered financial advisor currently at AGH WEALTH ADVISORS, LLC located in Wichita, Kansas and LPL FINANCIAL LLC located in Wichita, Kansas.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Timothy has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. 10/8/2013: AGH Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 12/11/2013: AGH Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Time Spent 99%. 3. 12/12/2013: AGH Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 4. 2/11/2014: AGH Employer Solutions - Investment Related - Third Party Administrator (TPA) - Time Spent 10% - DBA for payroll, HR and retirement plan accounting services. 5. 4/29/2014: Insight Wealth Strategies, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 1% - Sale of life, disability and long term care insurance. 6. 9/14/2021 - AGH Wealth Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 09/01/2021 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through AGH Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 09/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 7. 09/02/2021 - AGH Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/01/2021 - 160 Hours Per Month/8 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Aaron Penner'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
October 4, 2013 - Present
AGH WEALTH ADVISORS, LLC
Office #1: 301 N. Main Suite 1700, Wichita, KS 67202RIA
CRD#: 146796
WICHITA, KS
Current
October 8, 2013 - Present
LPL FINANCIAL LLC
Office #1: 301 N Main Street Suite 1700, Wichita, KS 67202-4817RIA
BD
CRD#: 6413
Wichita, KS
Past
October 8, 2013 - November 30, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
DERBY, KS
Past
January 7, 2013 - September 10, 2013
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
WICHITA, KS
Past
May 17, 2006 - December 31, 2012
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
WICHITA, KS
Past
March 8, 2005 - September 10, 2013
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
WICHITA, 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".
AW
AGH WEALTH ADVISORS, LLC
AGH WEALTH ADVISORS, LLC | AGH WEALTH MANAGEMENT
CRD#: 146796 / SEC#: 801-69091
RIA
Registered Investment Advisory firm - (4/18/2008 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.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(2/15/2022)
RR
Arkansas(2/16/2024)
RR
California(2/15/2022)
RR
Colorado(2/15/2022)
RR
Illinois(2/15/2022)
IAR
Kansas(10/4/2013)
RR
Kansas(10/8/2013)
RR
Kentucky(10/25/2023)
RR
Maryland(10/23/2025)
RR
Missouri(2/15/2022)
RR
Nebraska(2/15/2022)
RR
North Carolina(2/15/2022)
RR
Ohio(2/15/2022)
RR
Oklahoma(2/15/2022)
RR
South Carolina(2/15/2022)
RR
Tennessee(2/15/2022)
RR
Texas(2/15/2022)
IAR
Texas(11/12/2024)
RR
Virginia(9/9/2025)
RR
Washington(2/15/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AW
AGH WEALTH ADVISORS, LLC
AGH WEALTH ADVISORS, LLC | AGH WEALTH MANAGEMENT
CRD#: 146796 / SEC#: 801-69091
RIA
Registered Investment Advisory firm - (4/18/2008 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
301 N. Main Street Suite 1700, Wichita, KS 67202
Mailing Address
Phone number
(316) 267-3220
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 455 |
| AUM (Assets Under Management) | $ 439,945,283 |
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.
Company Information
AGH WEALTH ADVISORS, LLC
CRD#: 146796Wichita, KS 67202TRUST BUT VERIFY
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