Alfred D. Holland

VESTGEN ADVISORS

Dallas, TX 75240

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CRD#: 1576896

Professional summary

Alfred David Holland JR, CFP® is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Dallas, Texas.

Alfred is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Alfred has worked at 6 firms and has passed the Series 66, Series 3, Series 7 and Series 24 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 Alfred David Holland JR'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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

May 29, 2025 - Present

VESTGEN ADVISORS, LLC

Office #1: 5930 Lbj Freeway Suite 401, Dallas, TX 75240

RIA

CRD#: 318657

Dallas, TX

Past

June 17, 2014 - September 30, 2025

OPTIMUM INVESTMENT ADVISORS, LLC

RIA

CRD#: 105182

Dallas, TX

Past

October 16, 2009 - June 18, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

NANCY, KY

Past

October 16, 2009 - June 18, 2012

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

NANCY, KY

Past

April 19, 2001 - October 27, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LEXINGTON, KY

Past

April 19, 2001 - October 27, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHICAGO, IL

Past

July 20, 2000 - May 14, 2001

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

October 24, 1986 - June 26, 1989

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

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
(6/18/2025)

IAR

Texas
(5/29/2025)

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: 8/28/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 3

Date: 3/15/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/19/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/29/2010

General Securities Principal Examination

Current Firm

VESTGEN ADVISORS, LLC

CRD#: 318657 / SEC#: 801-123390

RIA

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

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Contact information

Main Address

1 North Franklin Suite 1850, Chicago, IL 60606

Mailing Address

Phone number

(312) 237-4446

Established

Firm type

Fiscal year end

# of Employees

115

SEC notice filing (35 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.

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Firm Stability Insights

Alfred D. Holland

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alfred David Holland JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPTIMUM INVESTMENT ADVISORS, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

UBS SECURITIES LLC

NORTHERN TRUST SECURITIES, INC.

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/28/2000

Series 3

Date: 3/15/2004

Series 7

Date: 7/19/2000

Series 24

Date: 4/29/2010

Current Firm

VESTGEN ADVISORS, LLC

Contact information

SEC notice filing (35 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VESTGEN ADVISORS, LLC

TRUST BUT VERIFY

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