Thomas James Pence

Current Employers

Employment History

• 10/2016 → 02/2023
  Stifel Nicolaus & Co Inc.
  Indianapolis, IN
• 01/2005 → 09/2016
  Wells Capital Management
  Indianapolis, IN
• 02/2023 → Present
  Sapient Capital Llc
  Indianapolis, IN

Previous Registrations

• 2016-10-17 → 2023-03-17
  Stifel, Nicolaus & Company, Incorporated
  Indianapolis, IN
• 2005-09-08 → 2005-10-20
  Allspring Global Investments, Llc
  San Francisco, CA
• 2001-02-02 → 2004-12-31
  Strong Capital Management Inc
  Menomonee Falls, WI

Other Businesses

1. Eskenazi Health Foundation; 720 Eskenazi Avenue Indianapolis IN 46202; healthcare; Board Member, Goverance Committee Member; consulting; affiliation started 03/01/2017; 2.0 hours per quarter; not during securities trading hours; not investment-related. 2. Indianapolis Museum of Art; 4000 N Michigan Rd Indianapolis IN 46208; art museum; Investment Committee Member; investment consultation; affiliation started 01/01/2015; 2.0 hours per quarter; not during securities trading hours; not investment-related. 3. MIca Partners LLC; 600 E 96th St Ste 575 Indianapolis IN 46240; Member; Investing; affiliation started 05/23/2017; 1.0 hour per year; not during securities trading hours; not investment-related. 4. Gore Creek 404 LLC; 97 Main St Unit E202 Edwards CO 81632; investments and any other business the company see fits; Sole Manager and Sole Member; manage investments and assets; 10/23/2017; 1.00 Hour(s) Per Quarter; not during securities trading hours; Investment-Related. 5. TJ Pence Investments LLC; 8002 N Pennsylvania St Indianapolis IN 46240; investments, real estate; Member; manage investments; 04/25/2008; 1.00 Hour(s) Per Quarter; not during securities trading hours; Investment-Related. 6. Trade Secret Chocolates Inc dba Sochatti dba True Essence; 1125 E Brookside Ave Ste D2, Indianapolis, IN 46202; Chocolate retailer; Consultant; Advise on business planning and strategies; 02/08/2022; 1 Hour per Quarter; Not During Securities Trading Hours; Not Investment-Related. 7. TJP AJP Summer Wind LLC; 600 E 96th St Ste 575, Indianapolis, IN 46240; Private investments; Manager and member; 05/05/2022; 1 Hour per Quarter; Not During Securities Trading Hours; Investment-Related.

Exams

• S63 Uniform Securities Agent State Law Examination
  2017-02-18
• S66 Uniform Combined State Law Examination
  2001-01-29

Designations

Other Names

• Tom Pence