Unclaimed Profile

Donald Bradley Pence

TRADEWINDS CAPITAL MANAGEMENT, LLC·BELLINGHAM, Washington

Series 7, Series 9, Series 10, Series 24, Series 53, Series 63, Series 65, Series 66Clean record19 years registeredTRADEWINDS CAPITAL MANAGEMENT, LLC

2211 RIMLAND DRIVE, BELLINGHAM, WA 98226CRD# 3028301Firm CRD# 145934

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Donald Bradley Pence · BELLINGHAM, WA

Registration

CRD #3028301 · TRADEWINDS CAPITAL MANAGEMENT, LLC · 19 years registered

Brand Profile

Not yet started

Career History

TRADEWINDS CAPITAL MANAGEMENT, LLC

Jan 2024 – present

U.S. BANCORP INVESTMENTS, INC.

Nov 2007 – Jan 2010

SAINT LOUIS, MO

A. G. EDWARDS & SONS, INC.

Feb 2007 – Nov 2007

ST. LOUIS, MO

Registrations & Exams

FINRA examinations passed

Series 7

Series 9

Series 10

Series 24

Series 53

Series 63

Series 65

Series 66

Registration record

First registered · February 28, 2007

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

TRADEWINDS CAPITAL MANAGEMENT, LLC

CRD 145934 · SEC 801-68789

AUM

$524M

Regulatory assets under management

Employees

2,483 client accounts

Services offered by TRADEWINDS CAPITAL MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at TRADEWINDS CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Donald Bradley Pence offer?

Donald Bradley Pence specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in BELLINGHAM, Washington for a consultation.

What are Donald Bradley Pence's credentials?

Donald Bradley Pence is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Donald Bradley Pence located?

Donald Bradley Pence is based in BELLINGHAM, Washington, working with TRADEWINDS CAPITAL MANAGEMENT, LLC. Their office serves clients in the BELLINGHAM metropolitan area and surrounding communities.

How does Donald Bradley Pence charge for services?

Donald Bradley Pence's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TRADEWINDS CAPITAL MANAGEMENT, LLC?

TRADEWINDS CAPITAL MANAGEMENT, LLC has approximately 10 employees and manages $524M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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