Brian N. Degrado

VESTGEN ADVISORS

Inverness, IL 60067

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CRD#: 4390686

Professional summary

Brian Nicholas Degrado is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Inverness, Illinois.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Brian has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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 Brian Nicholas Degrado'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

September 22, 2024 - Present

VESTGEN ADVISORS, LLC

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

RIA

CRD#: 318657

Inverness, IL

Past

November 1, 2021 - September 20, 2024

LAKE STREET

RIA

CRD#: 296761

CHICAGO, IL

Past

November 8, 2019 - November 11, 2021

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CHICAGO, IL

Past

November 8, 2019 - November 11, 2021

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

CHICAGO, IL

Past

October 1, 2012 - November 20, 2019

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

CHICAGO, IL

Past

October 1, 2012 - November 20, 2019

J.P. MORGAN SECURITIES LLC

CRD#: 79

CHICAGO, IL

Past

April 6, 2006 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

CHICAGO, IL

Past

March 17, 2006 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

June 9, 2005 - March 21, 2006

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

November 10, 2004 - March 1, 2005

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

November 13, 2003 - November 2, 2004

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

August 20, 2003 - November 24, 2003

SPIKE FINANCIAL SERVICES, LLC

CRD#: 112193

CHICAGO, IL

Past

January 21, 2003 - August 7, 2003

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

May 21, 2002 - January 17, 2003

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

November 9, 2001 - May 16, 2002

VANGUARD CAPITAL

CRD#: 22081

DEL MAR, CA

Past

May 25, 2001 - November 8, 2001

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, 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

Illinois
(9/22/2024)

IAR

Texas
(9/23/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/4/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/2001

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: 2/22/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/24/2001

Investment Company Products/Variable Contracts 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

Brian N. Degrado

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Nicholas Degrado's CRS (Customer Relationship Summary).

Certified licenses

Experience

LAKE STREET

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WOODBURY FINANCIAL SERVICES, INC.

WATERSTONE FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

SPIKE FINANCIAL SERVICES, LLC

WATERSTONE FINANCIAL GROUP, INC.

TOWER SQUARE SECURITIES, INC.

VANGUARD CAPITAL

WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/4/2006

Series 63

Date: 6/1/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/22/2006

Series 6

Date: 5/24/2001

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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