William H. Vanpelt
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
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Henry Vanpelt IV's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2002 - Present
RIDGEBACK SECURITIES, LTD
Office #1: 1218 Webster Street, Houston, TX 77002October 9, 2024 - September 17, 2025
THE BALDWIN GROUP WEALTH ADVISORS, LLC
October 1, 2021 - October 4, 2024
BKS RETIREMENT SERVICES
October 14, 2020 - March 7, 2022
EMERGENT CAPITAL ADVISORS, LLC
February 3, 2016 - October 31, 2016
FIRST HEARTLAND CAPITAL, INC.
January 5, 1996 - April 14, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
February 22, 1995 - December 31, 1995
AMERICAN GENERAL SECURITIES INCORPORATED
September 2, 1993 - December 31, 1994
ADVANTAGE CAPITAL CORPORATION
February 27, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
November 25, 1987 - January 30, 1992
CINCINNATI ANALYSTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/13/2011)
(3/24/2011)
(1/28/2011)
(2/26/2010)
(4/23/2008)
(3/22/2011)
(2/8/2011)
(1/31/2011)
(8/22/2019)
(4/1/2011)
(2/7/2011)
(3/25/2011)
(3/25/2011)
(8/23/2019)
(2/3/2011)
(8/13/2002)
(2/14/2011)
(1/1/2011)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
RIDGEBACK SECURITIES, LTD
CRD#: 120448 / SEC#: , 8-65298
Contact information
FINRA licenses (25 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 |
Red Flags
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Company Information
RIDGEBACK SECURITIES, LTD
CRD#: 120448Houston, TX 77002TRUST BUT VERIFY
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