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5000 Birch Street, Suite 8000, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2016-03-16 |
Branch Locations
5000 Birch Street, Suite 8000, Newport Beach, CA 92660 • United States
1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2010-04-05 |
| CA | RA | APPROVED | 2002-10-17 |
Branch Locations
5000 Birch Street #8000, Newport Beach, CA 92660-2158 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Newport Beach | CA | 09/2002 | Present |
| Pence Wealth Management | Newport Beach | CA | 09/2002 | 10/2025 |
| Pence Wealth Management Corporation | Newport Beach | CA | 02/2008 | 01/2024 |
| Pence Capital Management, Llc | Newport Beach | CA | 02/2016 | Present |
| Pence Financial Group | Newport Beach | CA | 01/2021 | 09/2022 |
1. 12/17/2002: PENCE WEALTH MANAGEMENT - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) 2. 1/9/2013: REAL ESTATE RENTAL - PENDRAGON DEVELOPMENT CORP - AR, TX, AND CA. 75% OWNED - TIME SPENT 1% 3. 1/10/2013: ELDON DRYDEN PENCE, INC. - Business Entity For Tax/Investment Purposes Only - PRESIDENT - Investment Related - TIME SPENT 10%. 4. 11/11/2013: NONE - NON-VARIABLE LIFE INSURANCE - Investment Related - At Reported Business Location(s) - TIME SPENT 1% 5. 12/31/2018 - EDP, LLC - Not Investment Related - Fort Smith, AR - Business Entity For Tax/Investment Purposes Only - Started 10/11/2018 - 1 Hours Per Month/0 Hours During Securities Trading 6. 10/01/2025 - Pence Financial Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/01/2018 - 40 hours per month 7. 02/19/2026 - Absolute 60 Boat LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Tustin, CA - Start Date 11/24/2025 - 24 hours per month/ 0 hours during trading 8. 04/29/2026 - Pence Capital Management, LLC - Registered Investment Advisor - Investment Related - At Reported Business Location(s) - Start Date 10/20/2015 - 20 hours per month - I provide limited investment advisory services through Pence Capital Management, LLC, an independent investment advisor firm. I started this business activity in 10/2015. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 9. 5/7/2026 - Book Author: Chokepoints (Working Title) - Other: Author - Investment related - Newport Beach, CA - Start Date 03/19/2026 - 10 hours per month / 0 hours during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-07-03 |
| S63 | Uniform Securities Agent State Law Examination | 1987-01-12 |
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