Keith B. Mooney

VESTGEN ADVISORS

South Barrington, IL 60010

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CRD#: 2562218

Professional summary

Keith Brian Mooney, CFP®, ChFC®, CLU® is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in South Barrington, Illinois and PRIVATE CLIENT SERVICES, LLC located in South Barrington, Illinois.

Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Keith has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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 Keith Brian Mooney'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: 1998

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

November 1, 2024 - Present

VESTGEN ADVISORS, LLC

Office #1: 1 Executive Court Suite 5, South Barrington, IL 60010

RIA

CRD#: 318657

South Barrington, IL

Current

November 1, 2024 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 1 Executive Court, Suite #5, South Barrington, IL 60010

RIA

CRD#: 120222

South Barrington, IL

Past

August 23, 2024 - November 8, 2024

OSAIC WEALTH, INC.

CRD#: 23131

South Barrington, IL

Past

August 30, 2019 - November 8, 2024

OSAIC ADVISORY SERVICES, LLC

RIA

CRD#: 171070

South Barrington, IL

Past

August 30, 2019 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

South Barrington, IL

Past

December 19, 2014 - September 26, 2019

SEQUOIA WEALTH MANAGEMENT, LLC

RIA

CRD#: 170543

SOUTH BARRINGTON, IL

Past

September 25, 2009 - October 28, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

SOUTH BARRINGTON, IL

Past

September 8, 2009 - September 18, 2019

LPL FINANCIAL LLC

CRD#: 6413

SOUTH BARRINGTON, IL

Past

January 9, 2008 - September 29, 2009

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

SOUTH BARRINGTON, IL

Past

June 28, 2006 - January 10, 2008

ASSOCIATED SECURITIES CORP.

RIA

CRD#: 12969

SOUTH BARRINGTON, IL

Past

March 18, 2004 - September 8, 2009

ASSOCIATED SECURITIES CORP.

CRD#: 12969

SOUTH BARRINGTON, IL

Past

October 11, 1999 - April 12, 2004

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

SCHAUMBURG, IL

Past

July 24, 1997 - April 12, 2004

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

November 21, 1994 - July 16, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Alabama
(11/12/2024)

Arizona
(11/1/2024)

Colorado
(11/1/2024)

Florida
(11/1/2024)

IAR

Florida
(11/13/2024)

Georgia
(11/1/2024)

Illinois
(11/8/2024)

IAR

Illinois
(11/8/2024)

Indiana
(11/12/2024)

Iowa
(11/12/2024)

Maryland
(11/1/2024)

Michigan
(11/1/2024)

Missouri
(11/4/2024)

New York
(11/24/2024)

North Carolina
(11/8/2024)

Ohio
(11/1/2024)

Pennsylvania
(11/14/2024)

Tennessee
(11/1/2024)

Texas
(11/1/2024)

IAR

Texas
(11/1/2024)

Washington
(11/8/2024)

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: 2/13/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/17/1994

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: 1/27/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/17/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/1997

General Securities Principal 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

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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Keith B. Mooney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Keith Brian Mooney's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

OSAIC WEALTH, INC.

OSAIC ADVISORY SERVICES, LLC

TRIAD ADVISORS LLC

SEQUOIA WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

ASSOCIATED SECURITIES CORP.

ASSOCIATED SECURITIES CORP.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/13/1997

Series 63

Date: 11/17/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/27/1997

Series 6

Date: 11/17/1994

Series 24

Date: 12/22/1997

FINRA

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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