Bill Van Pelt Fired by The Baldwin Group Wealth Advisors

Bill Van Pelt (CRD #: 1716622), a broker registered with Ridgeback Securities, was recently fired by The Baldwin Group Wealth Advisors. This disclosure appears on his BrokerCheck record, accessed on October 5, 2025. Keep reading if you have questions regarding his alleged conduct. 

Employment Separation After Allegations 

On September 8, 2025, The Baldwin Group Wealth Advisors fired Bill Van Pelt following allegations that he failed to perform all services in compliance with Baldwin’s company policies, including the Code of Business Conduct and Ethics policy that requires persons 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.” 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to protect company assets against loss, theft, and other misuses would violate this rule. 

Background Information 

Bill Van Pelt has passed the following exams: 

• Series 14 Compliance Officer Examination 
• Series 24 General Securities Representative Examination 
• Series 27 Financial and Operations Principal Examination 
• Series 99TO Operations Professional Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination

He is a registered broker in 18 states. 

Bill Van Pelt has registered with nine firms: 

• The Baldwin Group Wealth Advisors (CRD #: 312284) 
• BKS Retirement Services (CRD #: 304266) 
• Emergent Capital Advisors (CRD #: 156112) 
• First Heartland Capital (CRD #: 32460) 
• American General Securities Incorporated (CRD #: 13626) 
• Advantage Capital Corporation (CRD #: 146) 
• Portfolio Asset MGT/USA Financial Group (CRD #: 13741) 
• Capital Analysts Incorporated (CRD #: 5478) 

Kurta Law Can Help 

If you have worked with Bill Van Pelt and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.