James Pender is a registered investment advisor, based in Kensington, MD, with 21 years of industry experience.
Location
3535 University Blvd. W., Kensington, MD, 20895
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2006Settled
Other Business Activities
James is the Vice President of DC Society Sons of the American Revolution, a non-profit organization, and an advisor for Lafayette Federal Credit Union, dedicating full-time hours to this role. He is also an advisor for Lafayette Private Wealth, a DBA/Support Company, but spends no time on this activity.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
March 2025 - Present · 1 yr 2 mos
Raymond James Financial Services Advisors, INC
March 2025 - Present · 1 yr 2 mos
Previous Registrations
Cuso Financial Services, L.P.
June 2020 - March 2025 · 4 yrs 9 mos
Cuso Financial Services, L.P.Broker
June 2020 - March 2025 · 4 yrs 9 mos
Suntrust Advisory Services, INC.
March 2019 - May 2020 · 1 yr 2 mos
Suntrust Investment Services, INC.Broker
March 2019 - May 2020 · 1 yr 2 mos
LPL Financial LLC
November 2017 - March 2019 · 1 yr 4 mos
LPL Financial LLCBroker
November 2017 - March 2019 · 1 yr 4 mos
Investment Professionals, INC.Broker
May 2013 - November 2017 · 4 yrs 6 mos
Investment Professionals, INC.
May 2013 - November 2017 · 4 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2012 - May 2013 · 1 yr
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2012 - May 2013 · 1 yr
Strategic Advisers, INC.
September 2010 - November 2011 · 1 yr 2 mos
Fidelity Brokerage Services LLCBroker
September 2010 - November 2011 · 1 yr 2 mos
Bb&t Investment Services, INC.
November 2004 - August 2010 · 5 yrs 9 mos
Bb&t Investment Services, INC.Broker
November 2004 - August 2010 · 5 yrs 9 mos
AXA Advisors, LLC
March 2004 - May 2004 · 2 mos
AXA Advisors, LLCBroker
November 2003 - May 2004 · 6 mos
State Registrations7 states
AZCADCFLMDNCVA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.