Mark W. Johnson

VESTGEN ADVISORS

Chicago, IL 60603

Some features on this profile are disabled

CRD#: 1018744

Professional summary

Mark Wallace Johnson is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Chicago, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Mark has worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Wallace Johnson'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®

None

Experience

Current

May 28, 2025 - Present

VESTGEN ADVISORS, LLC

Office #1: 20 S. Clark Suite 2130, Chicago, IL 60603

RIA

CRD#: 318657

Chicago, IL

Past

February 20, 2015 - September 30, 2025

OPTIMUM INVESTMENT ADVISORS, LLC

RIA

CRD#: 105182

CHICAGO, IL

Past

February 6, 2012 - February 16, 2015

SPC

RIA

CRD#: 110692

LISLE, IL

Past

February 6, 2012 - February 16, 2015

SIGMA FINANCIAL CORPORATION

CRD#: 14303

LISLE, IL

Past

February 16, 2010 - February 8, 2012

MORGAN STANLEY

RIA

CRD#: 149777

LISLE, IL

Past

January 1, 2010 - February 8, 2012

MORGAN STANLEY

CRD#: 149777

LISLE, IL

Past

November 25, 2003 - April 4, 2007

FA ASSET MANAGEMENT INC.

RIA

CRD#: 110965

OAKBROOK TERRACE, IL

Past

August 9, 2000 - November 30, 2001

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

November 27, 1998 - July 8, 1999

CLEARY GULL INC.

CRD#: 45309

MILWAUKEE, WI

Past

October 2, 1997 - November 27, 1998

CLEARY GULL REILAND & MCDEVITT INC.

CRD#: 18716

MILWAUKEE, WI

Past

July 29, 1994 - July 28, 1997

MESIROW FINANCIAL, INC.

CRD#: 2764

CHICAGO, IL

Past

October 5, 1992 - July 2, 1994

BARRINGTON RESEARCH ASSOCIATES, INC.

CRD#: 13820

CHICAGO, IL

Past

February 7, 1991 - May 8, 1991

BANC ONE CAPITAL MARKETS, INC.

CRD#: 27267

COLUMBUS, OH

Past

July 13, 1990 - December 31, 1990

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

April 24, 1990 - July 13, 1990

BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION

CRD#: 17087

Past

October 16, 1987 - October 20, 1988

PIPER SANDLER & CO.

CRD#: 665

Past

November 24, 1982 - November 2, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

December 18, 1981 - October 4, 1982

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

VESTGEN ADVISORS, LLC

CRD#: 318657 / SEC#: 801-123390

RIA

Registered Investment Advisory firm - (3/4/2022 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

Illinois
(5/28/2025)

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 66

Date: 2/8/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/11/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/16/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 2/17/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/27/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/11/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VESTGEN ADVISORS, LLC

CRD#: 318657 / SEC#: 801-123390

RIA

Registered Investment Advisory firm - (3/4/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1605 West Colonial Parkway, Inverness, IL 60067

Mailing Address

Phone number

(312) 237-4446

Established

Firm type

Fiscal year end

# of Employees

115

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VESTGEN ADVISORS - WRAP FEE BROCHURE (3/31/2025)

VGA - ADV FORM 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	9,800
AUM (Assets Under Management)	$ 3,470,310,102

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mark W. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Wallace Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPTIMUM INVESTMENT ADVISORS, LLC

SPC

SIGMA FINANCIAL CORPORATION

MORGAN STANLEY

MORGAN STANLEY

FA ASSET MANAGEMENT INC.

CALAMOS FINANCIAL SERVICES LLC

CLEARY GULL INC.

CLEARY GULL REILAND & MCDEVITT INC.

MESIROW FINANCIAL, INC.

BARRINGTON RESEARCH ASSOCIATES, INC.

BANC ONE CAPITAL MARKETS, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION

PIPER SANDLER & CO.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/8/2010

Series 63

Date: 12/11/1981

SIE

Date: 2/16/2015

Series 31

Date: 2/17/2010

Series 7

Date: 12/27/2009

Series 6

Date: 12/11/1981

Current Firm

VESTGEN ADVISORS, LLC

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VESTGEN ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors