Nicholas A. Punzio

VESTGEN ADVISORS | Financial Consultant

Inverness, IL 60067

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CRD#: 5277539

Professional summary

Nicholas Anthony Punzio is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Inverness, Illinois and PRIVATE CLIENT SERVICES, LLC located in Inverness, Illinois.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Nicholas has worked at 15 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Biography

As your Financial Consultant, you can leverage my decade of experience working with high net worth clients in retirement, income and wealth planning, to help you create and execute a plan that makes sense for you and your family. 

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.

1) Private Client Services, Registered Representative, investment related, 12/2024, 10 hours per month, during trading hours. 2) VestGen Advisors. LLC. 1605 West Colonial Parkway, Inverness, IL 60067. RIA. 170 hrs/mo; 130 during trading hrs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Anthony Punzio'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

Education

Aurora University

Bachelor of Arts (BA) - business

2007

Experience

Current

February 8, 2023 - 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

January 6, 2023 - December 11, 2024

LPL FINANCIAL LLC

CRD#: 6413

INVERNESS, IL

Past

July 13, 2018 - January 10, 2023

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

June 23, 2016 - July 13, 2018

STRATEGIC ADVISERS LLC

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

DOWNERS GROVE, IL

Past

October 10, 2008 - November 3, 2008

EDWARD JONES

RIA

CRD#: 250

N AURORA, IL

Past

July 14, 2008 - November 3, 2008

EDWARD JONES

CRD#: 250

N AURORA, IL

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
(2/8/2023)

Illinois
(12/18/2024)

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

Series 63

Date: 8/16/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/26/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/11/2008

General Securities 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

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Nicholas A. Punzio

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Anthony Punzio's CRS (Customer Relationship Summary).

Certified licenses

Education

Aurora University

Experience

PRIVATE CLIENT SERVICES, LLC

LPL FINANCIAL LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ASSOCIATED INVESTMENT SERVICES, INC.

ASSOCIATED INVESTMENT SERVICES, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

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OPTIONSHOUSE1, LLC

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JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

VESTGEN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/16/2011

Series 66

Date: 9/26/2008

SIE

Date: 10/1/2018

Series 7

Date: 7/11/2008

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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