WV
William H. Vanpelt
RIDGEBACK SECURITIES, LTD
Houston, TX 77002
Some features on this profile are disabled
CRD#: 1716622
WV
Professional summary
William Henry Vanpelt IV, who also goes by William Henry Van Pelt IV, Bill Vanpelt Iv, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
William Henry Van Pelt Iv | Bill Vanpelt Iv
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.
Investment Related (1) RIDGEBACK SECURITES, LTD. formally know as MID-CONTINENT SECURITIES, LTD; Houston, TX: broker-dealer; Titles: President/FINOP/Manager/Secretary/Treasurer/General Securities Principal, Registered Representative, Start: 06/2002; 88 hrs/mo/3.5 hrs during securities trading hours; Duties: Manage client relationships; Executive mgt. (2)THE MID-CONTINENT COMPANIES, LTD/MCSALGP, LLC Houston, TX: Estate, business, strategic planning; Employee benefits planning; Corporate finance; Title: President/ Director; Start: 05/1987; 80 hrs/mo; Duties: Manage client relationships; Executive mgt. (3) INSURANCE UNDERWRITING SERVICES, LLC; Houston, TX: Insurance agency and general partner to The Mid-Continent Companies, Ltd.; Title: Manager/Officer/Insurance Agent; Start: 12/1998; 80 hrs/mo during securities trading hours; Duties: Executive mgt, insurance agent. (4) CAPITAL FINANCIAL GROUP, INC AND SUBSIDIARIES; Houston, TX: Limited partner in Mid-Continent Securities Advisors, Ltd. and The Mid-Continent Companies, Ltd., member of MCSALGP, LLC; Title: Sr. Vice President/Director/Secretary/Treasurer; Start: 02/1988; 40 hrs/mo during securities trading hours; Duties: executive management. (5) MANY SINGLE ASSET REAL ESTATE PARTNERSHIPS; TX, CO, NY, NC: Manager/Partner; 120 hrs/yr/0 hrs during securities trading hours; Duties: strategic project planning. (6) THE BALDWIN GROUP Retirement Planning, Employee Benefits and Risk Management Consulting; Managing Agent/IA; Start 5/2021; 10 hrs /month during securities trading hours; Duties: Consulting, sales and client relationship management -NON-INVESTMENT RELATED (7) DONOVAN MARINE, INC; New Orleans, LA; Wholesale marine parts sales; Title: Director; Start: 5/2013; 20 hrs/yr or 5 hrs/quarter/0 hrs during securities trading ours; Duties: Strategic planning. (8) PRESERVE HICKORY SKIING, INC, HICKORY SKI CENTER, LLC, SKI HICKORY HILL, INC.: Warrensburg, NY; Alpine ski area; Title: Director, Officer; Start: 06/2008; 20 hrs/yr,0 hrs during securities trading hours; Duties: Strategic project planning and executive management. (9) MISSISSIPPI EXPORT RAILROAD, INC: Moss Point, MS; Railroad transportation and distribution service; Title: Director, Board Member; Start: 01/2015; 5 hrs/qtr/0 hrs during securities trading hours; Duties: independent director. (10) KIMICHAN CORPORATION, INC: Houston, TX; General partner of limited partnerships; Title: President/Director; Start: 03/1997; 6 hrs/yr/0 hrs during securities trading hours; Duties: Executive management. (11) RUDOLPH TEXAS INVESTMENTS, INC: Houston, TX; General partner of limited partnerships; Title: President/ Director; Start: 12/1997; 6 hrs/yr/0 hrs during securities trading hours; Duties: Executive management. (12) TRUSTEE OF MANY TRUSTS: FOR FAMILY AND FRIENDS Houston, TX; Trustee/Independent Trustee; Start: 1991; 40 hrs/yr/0 hrs during securities trading hours; Duties: Trustee; Independent of B/D and all products offered through B/D (13) MID-CONTINENT METALS GROUP, LLC AND SUBSIDIARIES AND AFFILIATES: VALOR RENEWABLES, INC/VALOR ALLOYS, LLC:/VALOR RECYCLING, LLC Houston, TX; Nature of Business: Secondary remelter of aluminum and metal recycling; Title: Director, Manager and Board Member; Start Date: 5/2019; 520 hours per year; Independent director and manager. (14) GREAT BASIN VENTURES, LLC: Salt Lake City, UT; Real Estate Development and Management; Title: Director; Start: 7/2021; 5 hrs/month. Duties: Independent Director. (15) CFG CAPITAL SOURCES, INC: Houston, TX; Management Company (General partner to The Mid-Continent Companies, Ltd and many real estate partnerships); Title: President; Start:11/1989; 160 hrs/mo during securities trading hours; Duties: executive mgt.
CRS (Client Relationship Summary) - BD
Click below to view William Henry Vanpelt IV's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 12, 2002 - Present
RIDGEBACK SECURITIES, LTD
Office #1: 1218 Webster Street, Houston, TX 77002BD
CRD#: 120448
Houston, TX
Past
October 9, 2024 - September 17, 2025
THE BALDWIN GROUP WEALTH ADVISORS, LLC
RIA
CRD#: 312284
Houston, TX
Past
October 1, 2021 - October 4, 2024
BKS RETIREMENT SERVICES
RIA
CRD#: 304266
Houston, TX
Past
October 14, 2020 - March 7, 2022
EMERGENT CAPITAL ADVISORS, LLC
RIA
CRD#: 156112
Houston, TX
Past
February 3, 2016 - October 31, 2016
FIRST HEARTLAND CAPITAL, INC.
BD
CRD#: 32460
LAKE ST. LOUIS, MO
Past
January 5, 1996 - April 14, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
February 22, 1995 - December 31, 1995
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
September 2, 1993 - December 31, 1994
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
Past
February 27, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
BD
CRD#: 13741
EL PASO, TX
Past
November 25, 1987 - January 30, 1992
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
CINCINNATI, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/13/2011)
RR
Arizona(3/24/2011)
RR
Colorado(1/28/2011)
RR
Connecticut(2/26/2010)
RR
Florida(4/23/2008)
RR
Illinois(3/22/2011)
RR
Louisiana(2/8/2011)
RR
Massachusetts(1/31/2011)
RR
Nevada(8/22/2019)
RR
New Jersey(4/1/2011)
RR
New York(2/7/2011)
RR
Ohio(3/25/2011)
RR
Pennsylvania(3/25/2011)
RR
South Carolina(8/23/2019)
RR
South Dakota(2/3/2011)
RR
Texas(8/13/2002)
RR
Utah(2/14/2011)
RR
Virginia(1/1/2011)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RS
RIDGEBACK SECURITIES, LTD
MID-CONTINENT SECURITIES ADVISORS, LTD. | RIDGEBACK SECURITIES, LTD | MID-CONTINENT SECURITIES, LTD.
CRD#: 120448 / SEC#: , 8-65298
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
1218 Webster Street, Houston, TX 77002-8841
Mailing Address
1218 Webster Street, Houston, TX 77002-8841
Phone number
(713) 289-6200
Established
Texas since 04/01/2002
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (24 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE RIDGEBACK GROUP, LLC | 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 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RIDGEBACK SECURITIES, LTD
CRD#: 120448Houston, TX 77002TRUST BUT VERIFY
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