William H. Vanpelt
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 Henry Vanpelt III, who also goes by William Henry Vanpelt, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1973. William had worked at 9 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2009 - January 4, 2017
RIDGEBACK SECURITIES, LTD
May 30, 2002 - March 31, 2009
WOODBURY FINANCIAL SERVICES, INC.
June 6, 1998 - June 30, 2000
GUARANTY BROKERAGE SERVICES, INC.
March 31, 1997 - June 7, 2002
OGILVIE SECURITY ADVISORS CORPORATION
May 8, 1995 - December 31, 1995
AMERICAN GENERAL SECURITIES INCORPORATED
January 11, 1994 - December 31, 1994
MUTUAL SERVICE CORPORATION
February 28, 1992 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
June 11, 1981 - January 30, 1992
CINCINNATI ANALYSTS, INC.
September 4, 1973 - July 7, 1981
METROPOLITAN LIFE INSURANCE COMPANY
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
Series 1
Date: 8/24/1973
Registered Representative ExaminationCurrent 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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