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Patricia Carroll Van Pelt

A.G.P. / Alliance Global Partners

Holmdel, NJ

Charlotte, NC

CRD 6222886

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Employer firm

A.g.p. / Alliance Global Partners CRD 8361

$2.30B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
A.G.P. / Alliance Global Partners

88 Post Road West 2Nd Floor, Westport, CT 06880 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2025-07-14
VA RA APPROVED 2025-07-11
AL RA APPROVED 2025-07-10
CO RA APPROVED 2025-07-10
TX RA APPROVED_RES 2025-07-10
SC RA APPROVED 2024-09-05
NC RA APPROVED 2023-08-21
  • NV RA
    APPROVED
    Since 2025-07-14
  • VA RA
    APPROVED
    Since 2025-07-11
  • AL RA
    APPROVED
    Since 2025-07-10
  • CO RA
    APPROVED
    Since 2025-07-10
  • TX RA
    APPROVED_RES
    Since 2025-07-10
  • SC RA
    APPROVED
    Since 2024-09-05
  • NC RA
    APPROVED
    Since 2023-08-21

Branch Locations

2137 Route 35 Suite 345, Holmdel, NJ 07733 • United States

700 East Blvd Unit 3, Charlotte, NC 28203 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Grandview Financial Group Birmingham AL 04/2016 11/2019
Stifel Nicolaus Charlotte NC 11/2019 11/2022
Stifel, Nicolaus & Company, Incorporated Charlotte NC 11/2022 08/2023
Alliance Global Partners New York NY 08/2023 Present
  • 04/2016 → 11/2019
    Grandview Financial Group
    Birmingham, AL
  • 11/2019 → 11/2022
    Stifel Nicolaus
    Charlotte, NC
  • 11/2022 → 08/2023
    Stifel, Nicolaus & Company, Incorporated
    Charlotte, NC
  • 08/2023 → Present
    Alliance Global Partners
    New York, NY
Previous Registrations
Other Businesses

dba Van Pelt & Company, 700 E Blvd, Suite 3, Charlotte NC 28213, investment-related, general partner,9/15/25, full-time

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-04
  • S66 Uniform Combined State Law Examination
    2022-11-04
Other Names
  • Patty Carroll Van Pelt

View on SEC IAPD

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