Penny Kelley, financial advisor Roswell NM
93 score

Penny Kelley

CRD Number: 1013437
Current Firm: Lpl Financial LLC

Penny Kelley (CRD# 1013437) is an Investment Advisor Representative working at Lpl Financial LLC in Roswell, NM and has over 35 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial LLC Roswell, NM Dec 2012 - Current 4
Kelley Pharmacy, Inc. Roswell, NM Nov 2003 - Current 13
Roswell Osteopathic Medical Corp. Roswell, NM May 1996 - Current 20
Wells Fargo Advisors LLC Roswell, NM May 2009 - Dec 2012 3
Wachovia Securities, LLC Roswell, NM Jan 2008 - May 2009 1
A.g. Edwards Roswell, NM Aug 2005 - Jan 2008 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1981
S66 NASAA Uniform Combined State Law Examination Feb 2007
Contact Info for Penny L. Kelley
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • NM
  • TX
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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