Leslie Penka is a registered investment advisor, based in Lenexa, KS, with 20 years of industry experience.
Location
Lenexa, KS
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Current Registrations
Dai Securities, LLC
January 2024 - Present · 2 yrs 3 mos
Dai Securities, LLCBroker
January 2024 - Present · 2 yrs 3 mos
Dai Wealth, LLC
January 2024 - Present · 2 yrs 3 mos
Previous Registrations
Expand Financial, LLC
July 2023 - December 2023 · 5 mos
LPL Financial LLCBroker
December 2021 - December 2022 · 1 yr
Newedge Advisors
November 2021 - November 2022 · 1 yr
Purshe Kaplan Sterling InvestmentsBroker
January 2019 - July 2021 · 2 yrs 6 mos
Keen Wealth Advisors
March 2018 - July 2021 · 3 yrs 4 mos
Madison Avenue Securities, LLC
November 2016 - March 2018 · 1 yr 4 mos
Madison Avenue Securities, LLCBroker
November 2016 - March 2018 · 1 yr 4 mos
Waddell & Reed
September 2009 - March 2016 · 6 yrs 6 mos
Waddell & ReedBroker
September 2009 - March 2016 · 6 yrs 6 mos
Vsr Advisory Services
March 2007 - May 2009 · 2 yrs 2 mos
Vsr Financial Services, INC.Broker
March 2004 - May 2009 · 5 yrs 2 mos
State Registrations1 state
KS
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.