DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Penny L Kelley
Feed of 09/15/2026
Also filed as Penny Tucker Redman Kelley
At current firm
6 y
since Dec 18, 2019
In the industry
44 y
since Oct 15, 1981 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Nfsg Corporation BD affiliated currentsince Dec 18, 2019 · Boca Raton, Fl
- LPL Financial LLC BD affiliatedDec 20, 2012 to Dec 18, 2019 · Roswell, Nm
- Wells Fargo Advisors wirehouseJan 1, 2008 to Dec 19, 2012 · Roswell, Nm
- A. G. Edwards & Sons, Inc. unclassifiedFeb 26, 2007 to Jan 1, 2008 · Roswell, Nm
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Nfsg Corporationleft Dec 18, 2019, registered Dec 18, 2019 (0 days) · Affiliated broker-dealer or bank to another
- Wells Fargo Advisors to LPL Financial LLCleft Dec 19, 2012, registered Dec 20, 2012 (1 days) · Other
- A. G. Edwards & Sons, Inc. to Wells Fargo Advisorsleft Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address