Timothy D. Ludwig
VESTGEN ADVISORS
Naperville, IL 60563
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CRD#: 6972262
Professional summary
Timothy David Ludwig, who also goes by Timothy Ludwig, Tim D Ludwig, Timothy David Ludwig, is a registered financial advisor currently at VESTGEN ADVISORS, LLC located in Naperville, Illinois and PRIVATE CLIENT SERVICES, LLC located in Naperville, Illinois.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Timothy has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Timothy Ludwig | Tim D Ludwig | Timothy David Ludwig
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) Wisdom4Wealth, LLC. 2155 CityGate Ln, Suite 125, Naperville, IL 60563. Holding company for equity. Passive holder. No duties. Investment related. 2) VestGen Advisors, LLC. 1605 West Colonial Parkway, Inverness, IL 60067. RIA. 160 hrs/mo; 8 during trading hrs. 3) Mohns & Haller Inc. 2155 CityGate Ln, Suite 125, Naperville, IL 60563. Operating company thru which payroll and benefits are paid to employees. Employee. 1 hr/mo; 1 during trading hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy David Ludwig'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
October 14, 2024 - Present
VESTGEN ADVISORS, LLC
Office #1: 2155 Citygate Lane Suite 125, Naperville, IL 60563RIA
CRD#: 318657
Naperville, IL
Current
October 14, 2024 - Present
PRIVATE CLIENT SERVICES, LLC
Office #1: 2155 Citygate Lane, Suite 125, Naperville, IL 60563RIA
BD
CRD#: 120222
Naperville, IL
Past
March 31, 2023 - October 15, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Naperville, IL
Past
March 31, 2023 - October 15, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
NAPERVILLE, IL
Past
October 1, 2018 - April 3, 2023
EDWARD JONES
RIA
CRD#: 250
Aurora, IL
Past
July 24, 2018 - April 3, 2023
EDWARD JONES
BD
CRD#: 250
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".
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
Arkansas(10/14/2024)
RR
California(12/11/2024)
RR
Florida(10/14/2024)
RR
Illinois(10/14/2024)
IAR
Illinois(10/14/2024)
RR
Indiana(10/14/2024)
RR
Kentucky(10/14/2024)
RR
Louisiana(10/14/2024)
RR
Missouri(10/14/2024)
RR
South Carolina(10/14/2024)
RR
Texas(10/14/2024)
IAR
Texas(10/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General 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
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.
