BM
Bret J. Mooney
VESTGEN ADVISORS
South Barrington, IL 60010
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CRD#: 6963921
BM
Professional summary
Bret James Mooney, who also goes by Bret Mooney, 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.
Bret is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Bret has worked at 6 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bret Mooney
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) Non-Variable Annuities & Insurance Prodcuts. 1 Executive Court, Suite #5, South Barrington, IL 60010. Identity insurance needs and products that fit those needs, applications and servicing of the annuity and insurance products. 5 hrs/mo; 5 during trading hrs. Investment related. 2) VestGen Advisors, LLC. 1605 West Colonial Parkway, Inverness, IL 60057. Registered Investment Advisor. Investment Advisor Representative. 120 hrs/mo; 120 during trading hrs. Investment related. 3) VestGen Insurance Partners, LLC. 1605 West Colonial Parkway, Inverness, IL 60067. VestGen has created VestGen Insurance Partners, LLC (a general agency and insurance division). Insurance and Annuity Soliciation and Sales. 5 hrs/mo; 5 during trading hrs. Investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Bret James Mooney's 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®
NoneExperience
Current
November 1, 2024 - Present
VESTGEN ADVISORS, LLC
Office #1: 1 Executive Court Suite 5, South Barrington, IL 60010RIA
CRD#: 318657
South Barrington, IL
Current
November 1, 2024 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 1 Executive Court, Suite #5, South Barrington, IL 60010RIA
BD
CRD#: 120222
South Barrington, IL
Past
August 23, 2024 - November 11, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
South Barrington, IL
Past
August 30, 2019 - November 11, 2024
OSAIC ADVISORY SERVICES, LLC
RIA
CRD#: 171070
South Barrington, IL
Past
August 30, 2019 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
South Barrington, IL
Past
April 22, 2019 - September 18, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
SOUTH BARRINGTON, 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".
VA
VESTGEN ADVISORS, LLC
ENNEA WEALTH SOLUTIONS | WEALTH MANAGMENT GROUP | WEALTH MANAGEMENT GROUP, L.L.C. | VESTGEN WEALTH PARTNERS | VESTGEN OAK BROOK | VESTGEN NAPLES | VESTGEN NAPERVILLE | VESTGEN KANSAS CITY | VESTGEN INVERNESS & DOWNERS GROVE | VESTGEN GLEN ELLYN | VESTGEN EGG HARBOR | VESTGEN DOWNERS GROVE | VESTGEN CHICAGO | VESTGEN ADVISORS, LLC | VESTGEN ADVISORS | VESTGEN | VESTBRIDGE ADVISORS | OPTIMUM INVESTMENT ADVISORS | LANDMARK CAPITAL | FOUNTAIN WEALTH
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.RR
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
RR
Florida(11/1/2024)
IAR
Florida(11/13/2024)
RR
Illinois(11/1/2024)
IAR
Illinois(11/1/2024)
RR
Texas(11/1/2024)
IAR
Texas(11/1/2024)
RR
Wisconsin(11/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/22/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VA
VESTGEN ADVISORS, LLC
ENNEA WEALTH SOLUTIONS | WEALTH MANAGMENT GROUP | WEALTH MANAGEMENT GROUP, L.L.C. | VESTGEN WEALTH PARTNERS | VESTGEN OAK BROOK | VESTGEN NAPLES | VESTGEN NAPERVILLE | VESTGEN KANSAS CITY | VESTGEN INVERNESS & DOWNERS GROVE | VESTGEN GLEN ELLYN | VESTGEN EGG HARBOR | VESTGEN DOWNERS GROVE | VESTGEN CHICAGO | VESTGEN ADVISORS, LLC | VESTGEN ADVISORS | VESTGEN | VESTBRIDGE ADVISORS | OPTIMUM INVESTMENT ADVISORS | LANDMARK CAPITAL | FOUNTAIN WEALTH
CRD#: 318657 / SEC#: 801-123390
RIA
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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)
Regulatory assets under management
| Total Number of Accounts | 9,800 |
| AUM (Assets Under Management) | $ 3,470,310,102 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
VESTGEN ADVISORS, LLC
CRD#: 318657South Barrington, IL 60010TRUST BUT VERIFY
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