Andrew V. Owen

GOLDSTONE FINANCIAL GROUP

Oakbrook Terrace, IL 60181

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CRD#: 7152875

Professional summary

Andrew Vivo Owen is a registered financial advisor currently at GOLDSTONE FINANCIAL GROUP, LLC located in Oakbrook Terrace, Illinois.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Andrew has worked at 3 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 6TO 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.

1) NAME: Bash Sports Academy INV REL: N ADD: 2617 W Fletcher St, Chicago, IL 60618 NATURE: Baseball Instruction POSITION: Instructor START DATE: 05/01/2021 NO. HR/MO: 8 NO. HR/MO DURING SEC TRADING: 0 DUTIES: Teach kids how to play baseball. 2) LICENSED INSURANCE AGENT OFFERING LIFE AND FIXED ANNUITY SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Vivo Owen'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

May 24, 2024 - Present

GOLDSTONE FINANCIAL GROUP, LLC

Office #1: 18w140 Butterfield Road 16th Floor, Oakbrook Terrace, IL 60181

RIA

CRD#: 222520

Oakbrook Terrace, IL

Past

May 17, 2021 - April 1, 2024

MML INVESTORS SERVICES, LLC

CRD#: 10409

CHICAGO, IL

Past

September 21, 2019 - June 8, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Chicago, 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".

GOLDSTONE FINANCIAL GROUP, LLC

CRD#: 222520 / SEC#: 801-99350

RIA

Registered Investment Advisory firm - (6/5/2015 Approved)

Illinois

Registered Investment Advisory firm - (1/20/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(5/24/2024)

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: 5/24/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/4/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/7/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/21/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6TO

Date: 8/26/2019

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GOLDSTONE FINANCIAL GROUP, LLC

CRD#: 222520 / SEC#: 801-99350

RIA

Registered Investment Advisory firm - (6/5/2015 Approved)

Illinois

Registered Investment Advisory firm - (1/20/2016 Terminated)

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Contact information

Main Address

18w140 Butterfield Road 16th Floor, Oakbrook Terrace, IL 60181

Mailing Address

Phone number

(630) 620-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A-GOLDSTONE FINANCIAL GROUP, LLC (6/2/2025)

GOLDSTONE FINANCIAL GROUP, LLC WRAP FEE PROGRAM (3/31/2025)

Regulatory assets under management

Total Number of Accounts	4,083
AUM (Assets Under Management)	$ 917,456,867

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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Andrew V. Owen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Vivo Owen's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

GOLDSTONE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2024

Series 66

Date: 4/4/2023

Series 63

Date: 9/7/2019

SIE

Date: 9/21/2019

Series 6TO

Date: 8/26/2019

Current Firm

GOLDSTONE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOLDSTONE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

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