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Jay Arthur Pender

Stifel, Nicolaus & Company, Incorporated

West Des Moines, IA

CRD 5324663

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-07-11
IA RA APPROVED 2020-11-30
  • TX RA
    APPROVED_RES
    Since 2022-07-11
  • IA RA
    APPROVED
    Since 2020-11-30

Branch Locations

595 S 60Th Street Suite 260, West Des Moines, IA 50266 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Clive IA 02/2011 11/2016
Wells Fargo Clearing Services, Llc Clive IA 11/2016 11/2020
Stifel Nicolaus & Co Inc Clive IA 11/2020 Present
  • 02/2011 → 11/2016
    Wells Fargo Advisors Llc
    Clive, IA
  • 11/2016 → 11/2020
    Wells Fargo Clearing Services, Llc
    Clive, IA
  • 11/2020 → Present
    Stifel Nicolaus & Co Inc
    Clive, IA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-22
  • S66 Uniform Combined State Law Examination
    2007-06-22
Other Names
  • Jay A Pender

View on SEC IAPD

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PRINCIPAL SECURITIES, INC.
COMMONWEALTH FINANCIAL NETWORK
FOSTER GROUP, INC.

Nearby Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE

Nearby Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA

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