Leslie Penka, Chief Compliance Officer and VP of Operations, is a member of the firm’s executive leadership team and a key member of Keen Wealth Advisors. Leslie earned her degree in Psychology from Drury University and, over the span of her career, has also held several securities licenses. Her ability to dive deep into a multitude of functions, combined with her experience managing projects and teams, gives Leslie an edge when it comes to strategic thinking and implementation.
Leslie began her career in the financial services industry as an Order Processor for a small boutique broker-dealer. Within five years, she was managing that same department. A few years later Leslie was offered a position at Waddell & Reed, where she managed staff members who supported all operational functions nationwide. While there, Leslie also supervised advisors’ daily activities, ensuring that trading and other activities complied with company, SEC and FINRA regulations. After seven years at Waddell, Leslie was offered an opportunity at AE Wealth Management to build a new operations department – the people and the procedures – from the ground up. Leslie’s contribution to the infrastructure helped the new RIA grow by over $3B in just two years.
Leslie directly oversees the firm’s Compliance and Operations departments and staff. Leslie manages by a standard known here as the “Keen Wealth Culture” – she provides her staff with training and support so that they may continue to provide our clients with world-class service.
Leslie and her husband, Patrick, have two children who keep them incredibly busy, primarily with baseball and soccer. But they still manage to make time for college football, Royals baseball, and an annual vacation to Walt Disney World, which they believe to be the happiest place on earth. Occasionally, it turns out that it may not actually be the happiest place on earth, so they’ve learned to also schedule in some very happy beach time as well.