WV
William W. Van Pelt
A.G.P. / ALLIANCE GLOBAL PARTNERS
Charlotte, NC 28203
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CRD#: 453276
WV
Professional summary
William Wells Van Pelt, who also goes by W Wells Van Pelt, W. Wells Van Pelt Jr, William Wells Vanpelt Jr, is a registered financial advisor currently at A.G.P. / ALLIANCE GLOBAL PARTNERS located in Charlotte, North Carolina.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. William has worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, PC, Series 1, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
W Wells Van Pelt | W. Wells Van Pelt Jr | William Wells Vanpelt Jr
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.
1.FINRA; 1735 K Street, Washington DC 20006; ARBITRATOR; INVESTMENT RELATED; START DATE 08/05/1992; 1 hour per year. 2. SAINT NICHOLAS SOCIETY OF THE CITY OF NEW YORK; 2207 SHARON RD CHARLOTTE NC 28207; GENEOLOGY SOCIETY IN SUPPORT THE HISTORY OF NEW YORK; BOARD OF MANAGERS; AFFILIATION STARTED 05/28/2015; 2 HOURS PER QUARTER; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT RELATED. 3. dba Van Pelt & Company, 700 E Blvd, Suite 3, Charlotte NC 28213, investment-related, 9/15/25
CRS (Client Relationship Summary) - RIA
Click below to view William Wells Van Pelt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Wells Van Pelt'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
August 2, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 700 East Blvd Unit 3, Charlotte, NC 28203RIA
BD
CRD#: 8361
Charlotte, NC
Current
August 2, 2023 - Present
A.G.P. / ALLIANCE GLOBAL PARTNERS
Office #1: 700 East Blvd Unit 3, Charlotte, NC 28203RIA
BD
CRD#: 8361
Charlotte, NC
Past
January 20, 2012 - August 31, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
CHARLOTTE, NC
Past
January 20, 2012 - August 31, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
CHARLOTTE, NC
Past
June 5, 2008 - January 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CHARLOTTE, NC
Past
January 1, 2008 - January 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CHARLOTTE, NC
Past
June 19, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
CHARLOTTE, NC
Past
July 15, 2005 - June 16, 2006
MOORS & CABOT FINANCIAL ADVISORS, LLC
BD
CRD#: 132798
CHARLOTTE, NC
Past
February 21, 2003 - June 16, 2006
MOORS & CABOT, INC.
BD
CRD#: 594
CHARLOTTE, NC
Past
August 14, 2000 - February 13, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHARLOTTE, NC
Past
August 11, 2000 - February 13, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 23, 1999 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
July 6, 1995 - July 28, 1999
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
June 15, 1977 - July 25, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
May 5, 1975 - June 14, 1977
REYNOLDS SECURITIES, INC.
BD
CRD#: 712
Past
November 14, 1972 - May 11, 1975
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(7/10/2025)
IAR
Alabama(7/11/2025)
RR
Arizona(8/2/2023)
RR
Colorado(8/2/2023)
RR
District of Columbia(7/11/2025)
RR
Florida(8/2/2023)
RR
Kentucky(8/2/2023)
RR
Maryland(8/2/2023)
RR
Massachusetts(8/2/2023)
RR
Missouri(8/2/2023)
RR
Nevada(8/2/2023)
IAR
Nevada(7/14/2025)
RR
New Jersey(8/2/2023)
RR
New York(8/2/2023)
RR
North Carolina(8/2/2023)
IAR
North Carolina(8/2/2023)
RR
Pennsylvania(8/2/2023)
RR
South Carolina(8/2/2023)
IAR
South Carolina(9/12/2024)
RR
Texas(8/2/2023)
IAR
Texas(8/2/2023)
RR
Virginia(8/2/2023)
IAR
Virginia(7/11/2025)
RR
Wisconsin(8/2/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
PC
Date: 9/7/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 11/10/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/31/1988
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
A.G.P / ALLIANCE GLOBAL PARTNERS | VAN PELT & COMPANY | THE A.I.D. GROUP | SHILLIN WEALTH MANAGEMENT | SES GROUP | PINZKER & ASSOCIATES | NTS BEARING | LUNDBLADE FINANCIAL GROUP | LOWELL NEWMAN | KS CAPITAL MANAGEMENT, INC | INTUIT WEALTH MANAGEMENT | EURO PACIFIC CAPITAL, INC. | EPC ADVISORS GROUP, A DIV. OF A.G.P. / ALLIANCE GLOBAL PARTNERS | EPC ADVISORS GROUP | BOATMAN FINANCIAL MANAGEMENT, PLLC | ALLIANCE GLOBAL PLANNING | AGP FINANCIAL DISTRICT | ABC WEALTH MANAGEMENT | A.G.P. / ALLIANCE GLOBAL PARTNERS, LLC | A.G.P. / ALLIANCE GLOBAL PARTNERS OF THE LOWCOUNTRY | A.G.P. / ALLIANCE GLOBAL PARTNERS CORP. | A.G.P. / ALLIANCE GLOBAL PARTNERS | A.G.P. / ALLIANCE GLOBAL | A.G.P.
CRD#: 8361 / SEC#: 801-70276, 8-25132
RIA
Registered Investment Advisory firm - SEC (6/15/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
88 Post Road West 2nd Floor, Westport, CT 06880
Mailing Address
88 Post Road West 2nd Floor, Westport, CT 06880
Phone number
(203) 662-9700
Established
New York since 07/06/2022
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Medium
# of Employees
320
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
