William Henry Vanpelt Iv
Professional Summary
William Henry Vanpelt IV, who also goes by William Henry Van Pelt IV, Bill Vanpelt Iv, is a registered financial advisor currently at RIDGEBACK SECURITIES, LTD located in Houston, Texas. William is registered as a RR (Registered Representative) and started their career in finance in 1987. William has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William Henry Van Pelt Iv, Bill Vanpelt Iv
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
MID-CONTINENT SECURITIES ADVISORS, LTD. | RIDGEBACK SECURITIES, LTD | MID-CONTINENT SECURITIES, LTD.
Contact Information
Main Address
1218 Webster Street, Houston, TX 77002-8841Mailing Address
1218 Webster Street, Houston, TX 77002-8841Phone Number
(713) 289-6200Established
Texas since 04/01/2002Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (37 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE RIDGEBACK GROUP, INC | LIMITED PARTNER | — |
| CAPITAL FINANCIAL GROUP, INC. | LIMITED PARTNER | — |
| BRISTOW, BRIAN BRUCE | CHIEF OPERATING OFFICER | 3151921 |
| CONNOLLY, BRENDAN MACKEY | CHIEF COMPLIANCE OFFICER | 4352883 |
| MCSALGP, LLC | GENERAL PARTNER | — |
| VANPELT, WILLIAM HENRY IV | PRESIDENT, FINOP, MANAGER, SECRETARY, TREASURER | 1716622 |
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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.
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State Registrations and Notice Filings
(7/13/2011)
(3/24/2011)
(9/30/2026)
(4/14/2026)
(1/28/2011)
(2/26/2010)
(4/23/2008)
(5/19/2026)
(3/22/2011)
(7/24/2026)
(6/15/2026)
(2/8/2011)
(1/31/2011)
(8/24/2026)
(7/28/2026)
(7/6/2026)
(8/22/2019)
(6/3/2026)
(4/1/2011)
(2/7/2011)
(5/7/2026)
(3/25/2011)
(6/30/2026)
(3/25/2011)
(8/23/2019)
(2/3/2011)
(8/13/2002)
(2/14/2011)
(4/20/2026)
(1/1/2011)
(9/4/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view William Henry Vanpelt IV's CRS (Customer Relationship Summary).
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