Penny L Kelley

Employer firm

Nfsg Corporation CRD 130814

$1.08B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/1996 → Present
  Roswell Osteopathic Medical Corp.
  Roswell, NM
• 11/2003 → Present
  Kelley Pharmacy, Inc.
  Roswell, NM
• 12/2012 → 12/2019
  Lpl Financial Llc
  Roswell, NM
• 12/2019 → Present
  Newbridge Securities Corporation
  Roswell, NM

Previous Registrations

• 2012-12-20 → 2019-12-18
  Lpl Financial Llc
  Roswell, NM
  San Diego, CA
  Roswell, NM
• 2008-01-01 → 2012-12-19
  Wells Fargo Clearing Services, Llc
  Roswell, NM
• 2007-02-26 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Roswell, NM
  Roswell, NM
  St. Louis, MO

Other Businesses

1. 12/18/2012: Roswell Osteopathic Medical - Not Investment Related - Other-Business Owner - Time Spent 10% - Owner, president-medical clinic. 2. 12/18/2012: Kelley Pharmacy - Not Investment Related - Other-Business Owner - Time Spent 10% - Owner-delivery of pharmaceutical products to the public. 3. 12/18/2012: Roswell C.A.R.E - Not Investment Related - Other-Business Owner - Time Spent 1% - President/Owner-collects fees for indigent programs for patient visits. 4. Insurance; Insurance agent - Insurance sales, Roswell, New Mexico.

Exams

• S66 Uniform Combined State Law Examination
  2007-02-24
• S63 Uniform Securities Agent State Law Examination
  1981-10-15

Other Names

• Penny Tucker Redman Kelley
• Penny Tucker Redman
• Penny Lynn Kelley
• Penny L Kelley-Baumann