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Inactive

Kelly Sue Penn

New Wave Wealth Advisors

Springdale, AR

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Current Employers
New Wave Wealth Advisors

4403 S Thompson St, Ste 1, Springdale, AR 72764 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2023-05-16
  • AR RA
    APPROVED
    Since 2023-05-16

Branch Locations

4403 S Thompson St, Ste 1, Springdale, AR 72764 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services, Inc. Fayetteville AR 11/2013 03/2020
Hynes & Associates Fayetteville AR 11/2013 03/2020
Raymond James Financial Services Advisors Inc. Fayetteville AR 11/2013 03/2020
Hynes & Associates Fayetteville AR 11/2013 03/2020
Political Office Farmington AR 11/2013 Present
City Of Farmington Farmongton AR 11/2013 Present
Unemployed Fayetville AR 03/2020 05/2020
Sowell Financial Services D/B/A New Wave Wealth Advisors Springdale AR 05/2020 12/2022
Purshe Kaplan Sterling Investments Albany NY 12/2021 Present
New Wave Wealth Advisors Springdale AR 01/2023 Present
  • 11/2013 → 03/2020
    Raymond James Financial Services, Inc.
    Fayetteville, AR
  • 11/2013 → 03/2020
    Hynes & Associates
    Fayetteville, AR
  • 11/2013 → 03/2020
    Fayetteville, AR
  • 11/2013 → 03/2020
    Hynes & Associates
    Fayetteville, AR
  • 11/2013 → Present
    Political Office
    Farmington, AR
  • 11/2013 → Present
    City Of Farmington
    Farmongton, AR
  • 03/2020 → 05/2020
    Unemployed
    Fayetville, AR
  • 05/2020 → 12/2022
    Sowell Financial Services D/B/A New Wave Wealth Advisors
    Springdale, AR
  • 12/2021 → Present
    Purshe Kaplan Sterling Investments
    Albany, NY
  • 01/2023 → Present
    Springdale, AR
Previous Registrations
Other Businesses

1) 1. New Wave Wealth Advisors 2. Investment related 3. 4403 S. Thompson St. Ste 1 Springdale, AR 72764. 4. RIA 5. Investment Specialist 6. 5/2021 7. 160 hrs/mo 8. 130 hrs during trading 9. I provide administrative support for advisors 2) 1. City of Farmington 2. Not investment related 3. 354 West Main St., Farmington, AR 72730 4. Municipal Government 5. City Clerk (Elected Official 6. 01/01/2007 7. 8 hrs/mo 8. 1 hr during trading 9. Keep minutes of meetings, present budget & financial reports, contract and bid openings, not investment related 10. Salary

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-26
  • S66 Uniform Combined State Law Examination
    2001-04-26
Other Names
  • Kelly Sue Birch
  • Kelly Sue King
  • Kelly Sue Thomas

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