Leslie Penka
Advisor at DAI Wealth, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
DAI Wealth, LLC
Location
Lenexa, KS
Credentials
Series 63, Series 66
Industry experience
20 years
About
Leslie Penka is a financial advisor at DAI Wealth, LLC with 20 years of industry experience. She holds Series 63 and Series 66 credentials and has worked at firms including Purshe Kaplan Sterling Investments, LPL Financial, and NewEdge Advisors. DAI Wealth, LLC provides discretionary and non-discretionary investment management and financial planning to a diverse client base, including individuals, pension plans, charitable organizations, and corporations. The firm employs a multi-advisor platform and utilizes third-party managers and platform providers to tailor portfolios according to client objectives.
Client services
Based on DAI Wealth, LLC
Financial planning
Portfolio management
Selection of other advisers
Expertise
Based on DAI Wealth, LLC
Wealth management
Active portfolio management
Private / alternative investments
Retirement plans for business owners (SEP, solo 401k)
Fee options
Financial Planning and Consulting fees may also be flat fees as agreed with client.
up to 2.50% annually (negotiable, varies by account size and services)
IARs may receive commissions from sale of securities, variable annuities, alternative investments through affiliated broker-dealer DAIS.
$50 to $750 per hour for Financial Planning and Consulting services, subject to one-hour minimum.
Location
Lenexa, KS
Most active in
Leslie P has reported serving >5 clients in these states in the last 12 months.
Kansas
Work history
Dai Securities Llc
2024 - Present (2 years)
DAI Wealth LLC
2024 - Present (2 years)
Expand Financial, LLC
2023 - 2023 (1 year)
Fis
2022 - 2023 (1 year)
LPL Financial, LLC
2021 - 2022 (1 year)
NewEdge Advisors LLC
2021 - 2022 (1 year)
Unemployed
2021 - 2021 (1 year)
Purshe kaplan Sterling Investments
2018 - 2021 (3 years)
Keen Wealth Advisors
2018 - 2021 (3 years)
Keen Wealth Advisors
2018 - 2021 (3 years)
Keen Wealth Advisors
2018 - 2018 (1 year)
Madison Avenue Securities, LLC
2016 - 2018 (2 years)
AE Wealth Management
2016 - 2018 (2 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Is not active or affiliated with:
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
-
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
-
Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
-
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Amy W
CFP®, Series 66
Overland Park, KS
Prairie Ridge Asset Management, LLC
Michael H
Series 63, Series 66
Overland Park, KS
Penn Wealth Management
John C
CFP®, Series 63, Series 65
Lenexa, KS
Chladek Wealth Management, LLC
Mark N
Series 63, Series 65
Overland Park, KS
Nasche Asset Management LLC
Melinda B
Series 65
Overland Park, KS
Retirement Roots Wealth Management LLC
David W
CFP®
Overland Park, KS
Dynamic Wealth LLC
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