Nicholas S. Withington

VESTGEN ADVISORS

Kirkwood, MO 63122

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CRD#: 5159616

Professional summary

Nicholas Steven Withington, who also goes by Nick Steven Withington, is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Kirkwood, Missouri and PRIVATE CLIENT SERVICES, LLC located in Kirkwood, Missouri.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Nicholas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Steven Withington

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 Nicholas Steven Withington'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

December 18, 2025 - Present

VESTGEN ADVISORS, LLC

Office #1: 142 West Monroe Avenue, Kirkwood, MO 63122

RIA

CRD#: 318657

Kirkwood, MO

Current

December 19, 2025 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 142 West Monroe Ave, Kirkwood, MO 63122

RIA

CRD#: 120222

Kirkwood, MO

Past

January 25, 2022 - December 24, 2025

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Clayton, MO

Past

January 25, 2022 - December 24, 2025

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Clayton, MO

Past

February 27, 2018 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Clayton, MO

Past

February 26, 2018 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Clayton, MO

Past

February 26, 2018 - July 29, 2024

TD AMERITRADE, INC.

CRD#: 7870

Clayton, MO

Past

February 21, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

November 14, 2007 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

ST. LOUIS, MO

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
(1/13/2026)

California
(1/13/2026)

Florida
(1/13/2026)

Illinois
(1/13/2026)

Indiana
(1/13/2026)

Maryland
(1/13/2026)

Michigan
(1/13/2026)

IAR

Missouri
(12/18/2025)

Missouri
(12/19/2025)

Nevada
(1/13/2026)

North Carolina
(1/13/2026)

South Carolina
(1/13/2026)

Tennessee
(1/13/2026)

Texas
(1/13/2026)

IAR

Texas
(1/14/2026)

Virginia
(1/13/2026)

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 66

Date: 2/21/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/18/2007

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: 11/13/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/24/2013

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/23/2013

General Securities Sales Supervisor - Options Module 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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Advisor Monitoring

Firm Stability Insights

Nicholas S. Withington

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Steven Withington's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/21/2017

Series 63

Date: 12/18/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2007

Series 10

Date: 9/24/2013

Series 9

Date: 8/23/2013

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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