Bill Van Pelt: Ridgeback Advisor Fired by Baldwin Group

Houston, Texas financial advisor Bill Van Pelt (CRD# 1716622) was recently fired by a former broker-dealer firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Baldwin Group representative is registered as a broker with Ridgeback Securities.

Mr. Van Pelt’s BrokerCheck report discloses his termination from The Baldwin Group Wealth Advisors. Filed in September 2025, it alleges that she was fired in connection with allegations that he failed to act in compliance with the company’s policies, including its “its Code of Business Conduct and Ethics policy.” The disclosure notes that these policies require firm employees to “’act with honesty and integrity and in full compliance with all applicable laws, rules and regulations’ and to protect company assets ‘against loss, theft or other misuses.’”

The Baldwin Group’s website includes a page describing its wealth management services which include the development of wealth accumulation strategies, risk management, financial planning, business succession planning, retirement planning, and asset management. “Our team of wealth management advisors serves as your dedicated consultants, investing time and effort into a comprehensive understanding of your unique lifestyle and goals,” it explains. “With a commitment to end-to-end excellence, we’ll guide you from strategic planning to diligent execution.”

According to the Financial Industry Regulatory Authority, Bill Van Pelt holds 35 years of securities industry experience. Based in Houston, Texas, he has been registered as a broker with Ridgeback Securities since 2002. His past registrations include The Baldwin Group Wealth Advisors, BKS Retirement Services, Emergent Capital Advisors, First Heartland Capital, American General Securities, Advantage Capital, Portfolio Asset Management, and Capital Analysts. His credentials include the passage of seven securities industry qualifying exams: the Uniform Securities Agent State Law Examination, or Series 63; the General Securities Representative Examination, or Series 7; the General Securities Principal Examination, or Series 24; the Financial and Operations Principal Examination, or Series 27; the Operations Professional Exam, or Series 99TO; the Compliance Officer Examination, or Series 14;. He is licensed in Alabama, Arizona, Colorado, Connecticut, Florida, Illinois, Louisiana, Massachusetts, Nevada, New Jersey, New York, Ohio, Pennsylvania, South Carolina, South Dakota, Texas, Utah, and Virginia. (Information current as of November 16, 2025.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.