Robert S. Van Pelt

MANAGED ACCOUNT ADVISORS LLC

Jersey City, NJ 07302

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CRD#: 4561625

Professional summary

Robert Spencer Van Pelt, CFP®, CIMA®, who also goes by R Spencer Van Pelt, is a registered financial advisor currently at MANAGED ACCOUNT ADVISORS LLC located in Jersey City, New Jersey.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Robert has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

R Spencer Van Pelt

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.

70 Surfside Avenue LLC 520 White Plains Road, 3rd Floor Tarrytown, NY 10591 The LLC holds a vacation property that has been owned by my family since 1997. The vacation property is used exclusively by my family. My sister and I serve as managing members of the LLC. 2016 0 hours/month during securities trading hours Jointly responsible for maintenance of the property. Van Pelt Family 2010 Trust 520 White Plains Road, 3rd Floor Tarrytown, NY 10591 I serve as a co-trustee on the above referenced family trust along with my sister and Rob Clarfeld, the managing partner at Clarfeld Financial Advisors, Inc. (with Rob Clarfeld serving as the independent corporate trustee. 2010 0 hours/month during securities trading hours Jointly responsible for financial oversight of the trust. Day-to-day affairs are managed by an independent investment advisor, Clarfeld Financial Advisors, Inc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Spencer Van Pelt's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

CIMA^®

Certified Investment Management Analyst

Experience

Current

January 9, 2017 - Present

MANAGED ACCOUNT ADVISORS LLC

Office #1: 101 Hudson Street, Jersey City, NJ 07302

RIA

CRD#: 142558

Jersey City, NJ

Past

August 24, 2011 - November 30, 2016

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

June 1, 2009 - November 30, 2016

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

August 26, 2002 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

MANAGED ACCOUNT ADVISORS LLC

MANAGED ACCOUNT ADVISORS LLC | MANAGED ACCOUNT ADVISORS, LLC

CRD#: 142558 / SEC#: 801-67569

RIA

Registered Investment Advisory firm - (2/27/2007 Approved)

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.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/9/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/12/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/5/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/2002

General Securities Representative Examination

Current Firm

MANAGED ACCOUNT ADVISORS LLC

MANAGED ACCOUNT ADVISORS LLC | MANAGED ACCOUNT ADVISORS, LLC

CRD#: 142558 / SEC#: 801-67569

RIA

Registered Investment Advisory firm - (2/27/2007 Approved)

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Contact information

Main Address

101 Hudson Street, Jersey City, NJ 07302

Mailing Address

150 N College St Nc1-028-28-04, Charlotte, NC 28255

Phone number

(201) 557-0504

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MERRILL GUIDED INVESTING BROCHURE (11/14/2025)

MERRILL GUIDED INVESTING WITH ADVISOR BROCHURE (11/14/2025)

MAA MLPFS 2A FOR SELECT PORTFOLIO SOLUTIONS (3/21/2025)

MERRILL EDGE ADVISORY ACCOUNT BROCHURE (3/21/2025)

MERRILL LYNCH INVESTMENT ADVISORY PROGRAM BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	2,028,672
AUM (Assets Under Management)	$ 829,737,908,017

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.

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Firm Stability Insights

Robert S. Van Pelt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Spencer Van Pelt's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

MANAGED ACCOUNT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/2002

Series 63

Date: 9/5/2002

SIE

Date: 11/30/2016

Series 7

Date: 8/23/2002

Current Firm

MANAGED ACCOUNT ADVISORS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MANAGED ACCOUNT ADVISORS LLC

TRUST BUT VERIFY

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