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DP

Donald B. Pence

TRADEWINDS CAPITAL MANAGEMENT
Bellingham, WA 98226
Some features on this profile are disabled
CRD#: 3028301
DP

Professional summary

Donald Bradley Pence, who also goes by Brad Pence, is a registered financial advisor currently at TRADEWINDS CAPITAL MANAGEMENT, LLC located in Bellingham, Washington.

Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Donald has worked at 5 firms and has passed the Series 65, Series 66, Series 63, Series 7, Series 53, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brad Pence

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Donald Bradley Pence's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 10, 2024 - Present

TRADEWINDS CAPITAL MANAGEMENT, LLC

Office #1: 2211 Rimland Drive Suite 401, Bellingham, WA 98226
RIA
CRD#: 145934
Bellingham, WA
Past

January 25, 2010 - August 3, 2010

COUNTRY CAPITAL MANAGEMENT COMPANY

BD
CRD#: 12060
ELLISVILLE, MO
Past

November 20, 2007 - January 19, 2010

U.S. BANCORP INVESTMENTS, INC.

RIA
CRD#: 17868
SAINT LOUIS, MO
Past

November 16, 2007 - January 19, 2010

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT LOUIS, MO
Past

February 28, 2007 - November 5, 2007

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
ST. LOUIS, MO
Past

September 15, 2006 - November 5, 2007

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

March 15, 2000 - September 5, 2006

EDWARD JONES

BD
CRD#: 250
ST LOUIS, MO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TC
TRADEWINDS CAPITAL MANAGEMENT, LLC
TRADEWINDS CAPITAL MANAGEMENT, LLC

CRD#: 145934 / SEC#: 801-68789

RIA
Registered Investment Advisory firm - (2/6/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Missouri
(11/7/2025)
IAR
Washington
(1/10/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/10/2024
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/27/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/15/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/13/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/12/2007
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/26/2004
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/21/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/2/2004
General Securities Principal Examination

Current Firm

TC
TRADEWINDS CAPITAL MANAGEMENT, LLC
TRADEWINDS CAPITAL MANAGEMENT, LLC

CRD#: 145934 / SEC#: 801-68789

RIA
Registered Investment Advisory firm - (2/6/2008 Approved)
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Contact information

Main Address
2211 Rimland Drive Suite 401, Bellingham, WA 98226
Mailing Address
Phone number
(360) 715-9000
Established
Firm type
Fiscal year end
# of Employees
10

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A (11/7/2025)

Regulatory assets under management

Total Number of Accounts2,652
AUM (Assets Under Management)$ 602,785,057

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TRADEWINDS CAPITAL MANAGEMENT, LLC

CRD#: 145934Bellingham, WA 98226

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