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Leslie Penka

Investment Adviser Representative at DAI WEALTH, LLC

Lenexa, KSCRD #4535565Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
1 states
Exams Passed
7

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Leslie Penka has worked in the securities industry since 2006. They are registered to provide investment advisory services in Kansas.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Kansas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 3/9/2007
Series 63
Uniform Securities Agent State Law Examination
Passed 5/12/2005
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 3/20/2018
Series 7
General Securities Representative Examination
Passed 3/10/2004
Series 53
Municipal Securities Principal Examination
Passed 12/8/2014
Series 24
General Securities Principal Examination
Passed 3/31/2006

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

DAI Wealth, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

DAI SECURITIES, LLCCurrent
1/4/2024Lenexa, KS
DAI WEALTH, LLCCurrent
1/2/2024Lenexa, KS
EXPAND FINANCIAL, LLC
7/14/202312/15/2023Lenexa, KS
NEWEDGE ADVISORS
11/11/202111/29/2022Lenexa, KS
KEEN WEALTH ADVISORS
3/21/20187/26/2021Overland Park, KS
MADISON AVENUE SECURITIES, LLC
11/8/20163/20/2018Topeka, KS
WADDELL & REED
9/18/20093/14/2016Overland Park, KS
VSR ADVISORY SERVICES
3/13/20075/4/2009Overland Park, KS

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Leslie Penka has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Leslie Penka - Financial Advisor in Lenexa, KS | AdvisorFinder