Donald Pence has been Chief Compliance Officer of Tradewinds Capital Management since February 2024, is a control person of the firm and directly owns under 5% of it.
Tradewinds Capital Management, LLC is a Bellingham, WA firm with $727M under management, 2,238 clients and 7 advisers in one office, as of its August 2026 filing.
Donald Pence’s longest registration is the current one, 2 years at Tradewinds Capital Management since 2024. Before joining Tradewinds Capital Management in 2024, Donald Pence was registered through U.S. Bancorp Investments, Inc. and A. G. Edwards & Sons, Inc.
- – present · 2 yearsAdviser representative · Firm CRD 145934
- U.S. Bancorp Investments, Inc.– · 2 yearsSaint Louis, MO · Adviser representative · Firm CRD 17868
- A. G. Edwards & Sons, Inc.– · under a yearSt. Louis, MO · Adviser representative · Firm CRD 4
Investment adviser representative registrations
Donald Pence is registered as an investment adviser representative in 2 states. The first approvals date from January 2024; the most recent is Missouri, in November 2025.
- MissouriSince 7 November 2025
- WashingtonSince 10 January 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 10 January 2024 |
| Series 53 | Municipal Securities Principal Examination | 12 December 2007 |
| Series 66 | Uniform Combined State Law Examination | 27 February 2007 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 26 August 2004 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 21 July 2004 |
| Series 24 | General Securities Principal Examination | 2 July 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 March 2000 |
| Series 7 | General Securities Representative Examination | 13 March 2000 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Donald Bradley Pence
- CRD
- 3028301
- Firm
- Tradewinds Capital Management · CRD 145934
- Role
- Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- March 2021
- Disciplinary history
- Not yet shown here · SEC record
Where does Donald Pence work?
Donald Pence has been Chief Compliance Officer of Tradewinds Capital Management, LLC since February 2024, and is a control person of the firm.
Is Donald Pence a financial advisor?
Yes. Donald Pence has a current investment-adviser registration in Missouri and Washington, through Tradewinds Capital Management since January 2024.
How many years of experience does Donald Pence have?
Donald Pence has 5 years in the financial industry, since March 2021, across 3 adviser firms.
What exams has Donald Pence passed?
Donald Pence has passed 8 licensing exams: the Series 7, Series 63, Series 24, Series 10, Series 9, Series 66, Series 53 and Series 65. The earliest, the Series 7, was passed in March 2000.
Where did Donald Pence work before Tradewinds Capital Management?
Before Tradewinds Capital Management, Donald Pence was registered through U.S. Bancorp Investments, Inc., November 2007 to January 2010; A. G. Edwards & Sons, Inc., February 2007 to November 2007.
Is Donald Pence registered with FINRA?
No. Donald Pence has no current broker registration.
How can I verify Donald Pence’s record?
Search CRD 3028301 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Donald Pence’s full registration record.