Kevin E. Looser

VESTGEN INVESTMENT MANAGEMENT

Lakeview, OH

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CRD#: 1973866

Professional summary

Kevin Edward Looser, who also goes by Kevin Looser, is a registered financial advisor currently at VESTGEN INVESTMENT MANAGEMENT located in Lakeview, Ohio and VESTGEN ADVISORS, LLC located in Lakeview, Ohio.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Kevin has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kevin Looser

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.

1) Independent life and health insurance agent, investment related, 25 hours per month, 25 hours during trading hours. 2) WebDocUSA; www.webdocusa, a)platform facilitator for web based counseling for colleges and local government, non-investment related, b) also developed IOS and Droid app for interpretation services to help deaf community, 20 hours per month, 20 hours during trading periods.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Edward Looser'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

January 17, 2019 - Present

VESTGEN INVESTMENT MANAGEMENT

RIA

CRD#: 118851

Lakeview, OH

Current

February 3, 2025 - Present

VESTGEN ADVISORS, LLC

RIA

CRD#: 318657

Lakeview, OH

Past

September 10, 2010 - October 2, 2017

SPC

RIA

CRD#: 110692

Lakeview, OH

Past

September 2, 2005 - October 2, 2017

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Lakeview, OH

Past

March 31, 2003 - August 30, 2005

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CRD#: 13609

CEDAR RAPIDS, IA

Past

October 18, 1995 - March 31, 2003

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

CRD#: 2864

BRYAN, OH

Past

March 3, 1995 - October 19, 1995

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

December 6, 1993 - March 3, 1995

SOCIETY INVESTMENTS, INC.

CRD#: 17656

Past

June 11, 1991 - December 3, 1993

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 11, 1991 - December 3, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Ohio
(1/17/2019)

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

Series 63

Date: 7/29/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/10/1991

General Securities Representative 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

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.

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Advisor Monitoring

Firm Stability Insights

Kevin E. Looser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Edward Looser's CRS (Customer Relationship Summary).

Certified licenses

Experience

VESTGEN ADVISORS, LLC

SPC

SIGMA FINANCIAL CORPORATION

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.

KEY INVESTMENTS INC.

SOCIETY INVESTMENTS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/29/2005

SIE

Date: 10/2/2017

Series 7

Date: 6/10/1991

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

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