William G. Kelley
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Gerard Kelley, who also goes by Bill Kelley, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2019 - September 4, 2021
RIDGEBACK SECURITIES, LTD
June 3, 2008 - December 12, 2016
RIDGEBACK SECURITIES, LTD
July 29, 2003 - November 12, 2007
JOHNSON CAPITAL, L L C
June 8, 2001 - April 17, 2002
BRILL SECURITIES, INC.
March 23, 1999 - July 6, 1999
JWH SECURITIES, INC.
February 21, 1997 - September 8, 1998
BRILL SECURITIES, INC.
November 28, 1994 - February 28, 1995
RXR SECURITIES INC.
February 20, 1993 - July 8, 1994
BOWLES HOLLOWELL CONNER & CO.
December 12, 1991 - February 19, 1993
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RIDGEBACK SECURITIES, LTD
CRD#: 120448 / SEC#: , 8-65298
Contact information
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.
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