Joseph M. Esposito

VESTGEN ADVISORS

Glen Ellyn, IL 60137

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CRD#: 2164131

Professional summary

Joseph Michael Esposito JR, who also goes by Joe Esposito, Joseph Michael Jr Esposito, is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Glen Ellyn, Illinois and PRIVATE CLIENT SERVICES, LLC located in Glen Ellyn, Illinois.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Esposito | Joseph Michael Jr Esposito

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) Fixed Insurance - Multiple companies. 799 Roosevelt Road, Bldg 4, Glen Ellyn, IL 60137. Various life, LTD, LTC insurance. Financial advisor. <10hrs/mo; <5 during trading hrs. Not investment related. 2) Rental Property. 638 Pleasant Avenue, Glen Ellyn 60137. Rental home single family. Landlord. <1 hr/mo; 0 during trading hrs. Not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Esposito 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®

None

Experience

Current

November 1, 2024 - Present

VESTGEN ADVISORS, LLC

Office #1: 799 Roosevelt Road Building 4, Suite 301, Glen Ellyn, IL 60137

RIA

CRD#: 318657

Glen Ellyn, IL

Current

November 1, 2024 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 799 Roosevelt Road, Bldg 4, Ste 301, Glen Ellyn, IL 60137

RIA

CRD#: 120222

Glen Ellyn, IL

Past

May 6, 2014 - November 6, 2024

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Glen Ellyn, IL

Past

May 6, 2014 - November 6, 2024

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

Glen Ellyn, IL

Past

August 22, 2001 - December 31, 2024

EK&A

RIA

CRD#: 123817

GLEN ELLYN, IL

Past

November 5, 1999 - May 21, 2014

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

GLEN ELLYN, IL

Past

August 15, 1995 - May 21, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

GLEN ELLYN, IL

Past

January 6, 1992 - July 19, 1995

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

November 18, 1991 - July 19, 1995

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(11/1/2024)

California
(11/1/2024)

Colorado
(11/1/2024)

Connecticut
(11/1/2024)

Florida
(11/1/2024)

Illinois
(11/1/2024)

IAR

Illinois
(11/1/2024)

Indiana
(11/1/2024)

Maryland
(11/1/2024)

Missouri
(11/1/2024)

New Jersey
(11/1/2024)

Ohio
(11/1/2024)

IAR

Ohio
(11/1/2024)

Pennsylvania
(11/1/2024)

Texas
(11/1/2024)

Utah
(11/1/2024)

Virginia
(11/1/2024)

Wisconsin
(11/1/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/25/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/11/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/14/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Joseph M. Esposito

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Esposito JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

EK&A

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/1999

Series 63

Date: 3/10/1992

SIE

Date: 10/1/2018

Series 7

Date: 5/11/1999

Series 6

Date: 11/14/1991

FINRA

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

Contact information

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