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WILLIAM WELLS VAN PELT
W WELLS VAN PELT, W. WELLS VAN PELT JR, WILLIAM WELLS VANPELT JR
CRD#: 453276
IA
Investment Adviser
B
Broker
A.G.P / ALLIANCE GLOBAL PARTNERSCRD#: 8361 700 East Blvd
Unit 3
Charlotte, NC 28203
Registration History
197519801985199019952000200520102015202020252 FIRMS2000 - 2003 (2 years)2 FIRMS2008 - 2012 (4 years)2 FIRMS2012 - 2023 (11 years)2 FIRMS2023 - Present (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)2006 - 2008 (1 year)BMOORS & CABOT FINANCIAL ADVISO... (CRD# 132798)2005 - 2006 (<1 year)BMOORS & CABOT, INC. (CRD# 594)2003 - 2006 (3 years)BJ.C. BRADFORD & CO. (CRD# 1287)1999 - 2000 (1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1995 - 1999 (4 years)BSMITH BARNEY INC. (CRD# 7059)1977 - 1995 (18 years)BREYNOLDS SECURITIES, INC. (CRD# 712)1975 - 1977 (2 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1972 - 1975 (2 years)
Disclosure(s)
View By:
8/1/2023
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 8/2/2023

B
North Carolina 8/2/2023

B
Colorado 8/2/2023

IA
North Carolina 8/2/2023

B
Florida 8/2/2023

B
Pennsylvania 8/2/2023

B
Kentucky 8/2/2023

B
South Carolina 8/2/2023

B
Maryland 8/2/2023

IA
South Carolina 9/12/2024

B
Massachusetts 8/2/2023

B
Texas 8/2/2023

B
Missouri 8/2/2023

IA
Texas 8/2/2023

B
Nevada 8/2/2023

B
Virginia 8/2/2023

B
New Jersey 8/2/2023

B
Wisconsin 8/2/2023

B
New York 8/2/2023

SRO Registrations

B
FINRA

B
Nasdaq Stock Market

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
A.G.P / ALLIANCE GLOBAL PARTNERS (CRD#:8361)
700 East Blvd Unit 3, Charlotte, NC 28203
Registered with this firm since 8/2/2023

B
A.G.P. / ALLIANCE GLOBAL PARTNERS (CRD#:8361)
700 East Blvd Unit 3, Charlotte, NC 28203
Registered with this firm since 8/2/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/20/2012 - 08/31/2023 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CHARLOTTE, NC
B
01/20/2012 - 08/31/2023 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CHARLOTTE, NC
IA
06/05/2008 - 01/23/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHARLOTTE, NC
B
01/01/2008 - 01/23/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHARLOTTE, NC
B
06/19/2006 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) CHARLOTTE, NC
B
07/15/2005 - 06/16/2006 MOORS & CABOT FINANCIAL ADVISORS, LLC (CRD#:132798) CHARLOTTE, NC
B
02/21/2003 - 06/16/2006 MOORS & CABOT, INC. (CRD#:594) CHARLOTTE, NC
IA
08/14/2000 - 02/13/2003 UBS PAINEWEBBER INC. (CRD#:8174) CHARLOTTE, NC
B
08/11/2000 - 02/13/2003 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
07/23/1999 - 08/14/2000 J.C. BRADFORD & CO. (CRD#:1287) NEW YORK, NY
B
07/06/1995 - 07/28/1999 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
06/15/1977 - 07/25/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
05/05/1975 - 06/14/1977 REYNOLDS SECURITIES, INC. (CRD#:712)
B
11/14/1972 - 05/11/1975 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059)
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.