Thomas J. Gruszka

VESTGEN ADVISORS

Inverness, IL 60067

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CRD#: 4159155

Professional summary

Thomas James Gruszka, CFP®, who also goes by Thomas J Gruszka, is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Inverness, Illinois and PRIVATE CLIENT SERVICES, LLC located in Inverness, Illinois.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas J Gruszka

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) VestGen Advisors, LLC. 1605 West Colonial Parkway, Inverness, IL 60067. RIA. 195 hrs/mo; 140 during trading hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Gruszka'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

Experience

Current

May 3, 2022 - Present

VESTGEN ADVISORS, LLC

Office #1: 1605 West Colonial Parkway, Inverness, IL 60067

RIA

CRD#: 318657

Inverness, IL

Current

December 10, 2024 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 1605 West Colonial Parkway, Inverness, IL 60067

RIA

CRD#: 120222

Inverness, IL

Past

March 2, 2018 - December 21, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

INVERNESS, IL

Past

March 2, 2018 - December 11, 2024

LPL FINANCIAL LLC

CRD#: 6413

INVERNESS, IL

Past

September 26, 2014 - March 2, 2018

SPC

RIA

CRD#: 110692

PALATINE, IL

Past

September 26, 2014 - March 2, 2018

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Palatine, IL

Past

December 17, 2013 - October 3, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

PALATINE, IL

Past

December 17, 2013 - October 3, 2014

LPL FINANCIAL LLC

CRD#: 6413

PALATINE, IL

Past

October 5, 2009 - December 13, 2013

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

ROLLING MEADOWS, IL

Past

October 5, 2009 - December 13, 2013

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

ROLLING MEADOWS, IL

Past

November 6, 2007 - October 20, 2009

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

WINNETKA, IL

Past

November 6, 2007 - October 20, 2009

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WINNETKA, IL

Past

May 17, 2007 - October 11, 2007

IFMG SECURITIES, INC.

RIA

CRD#: 14416

CHICAGO, IL

Past

May 17, 2007 - October 11, 2007

IFMG SECURITIES, INC.

CRD#: 14416

CHICAGO, IL

Past

June 16, 2004 - May 18, 2007

LASALLE FINANCIAL SERVICES, INC.

RIA

CRD#: 20373

MT. PROSPECT, IL

Past

June 16, 2004 - May 18, 2007

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

MT. PROSPECT, IL

Past

May 26, 2004 - June 18, 2004

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

MT PROSPECT, IL

Past

May 26, 2004 - June 18, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

October 19, 2001 - May 25, 2004

LASALLE FINANCIAL SERVICES, INC.

RIA

CRD#: 20373

CHICAGO, IL

Past

February 16, 2001 - May 25, 2004

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

April 7, 2000 - February 16, 2001

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

IAR

Illinois
(5/3/2022)

Illinois
(12/10/2024)

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: 4/24/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/11/2000

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: 6/4/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/5/2000

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.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Gruszka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas James Gruszka's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SPC

SIGMA FINANCIAL CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

LASALLE FINANCIAL SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

LASALLE FINANCIAL SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/24/2000

Series 63

Date: 4/11/2000

SIE

Date: 10/1/2018

Series 7

Date: 6/4/2001

Series 6

Date: 4/5/2000

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

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