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1 North Franklin Suite 1850, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2024-11-14 |
| IL | RA | APPROVED | 2024-11-13 |
| TX | RA | APPROVED_RES | 2024-11-01 |
Branch Locations
1 North Franklin Suite 1850, Chicago, IL 60606 • United States
1 Executive Court Suite #5, South Barrington, IL 60010 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Keith B. Mooney & Assoc. | Gilberts | IL | 11/1997 | 08/2019 |
| Lpl Financial Llc | South Barrington | IL | 09/2009 | 08/2019 |
| Sequioa Wealth Management, Llc | South Barrington | IL | 12/2014 | 08/2019 |
| Triad Advisors | Norcross | GA | 08/2019 | 08/2024 |
| Triad Hybrid Solutions | Norcross | GA | 08/2019 | 09/2024 |
| Osaic Wealth, Inc. | South Barrington | IL | 08/2024 | 11/2024 |
| Private Client Services | South Barrington | IL | 11/2024 | Present |
| Vestgen Advisors, Llc | South Barrington | IL | 11/2024 | Present |
1) Capital Financial Education Group. 1 Executive Court, Suite #5, South Barrington, IL 60010. Not for profit organization we run education seminars through. Director; organize and teach education seminars. 10 hrs/mo; 0 during trading hrs. Not investment related. 2) Non-variable annuities and insurance products. 1 Executive Court, Suite #5, South Barrington, IL 60010. Solicit and write non-variable annuities and insurance products. 5 h hrs/mo; 5 during trading hrs. Investment related. 3) Joe Lyons LLC. 1 Executive Court, Suite #5, South Barrington, IL 60010. Joe Lyons, LLC was a previous DBA name. Keeping name for now. 0 hrs/mo; 0 during trading hrs. Not investment related. 4) Turnberry Property Associate Board Member. 7513 Bonnie Ridge, Village of Lakewood, IL 60014. Neighborhood Homeowners Association. Board member. Not investment related. 5) Trustee on Spouse's Trust. 7513 Bonnie Ridge, Village of Lakewood, IL 60014. Trustee on Spouse's Trust. Trustee. 0 hrs/mo. Investment related. 6) VestGen Advisors, LLC. Investment-related. 1605 West Colonial Parkway, Inverness, IL 60067. RIA. Role: Investment Adviser Representative. 120 hours/per month, 120 hours/month during trading hours. 7) Big Brother Big Sister McHenry County. 630 N State RTE 31, Crystal Lake, IL 60012. For over 30 years, Big Brothers Big Sisters of McHenry County has worked to provide children facing adversity with strong and enduring professional support. Not investment related. Role: Board member. 2 hours per month, 2 hours per month during trading hours. 8) VestGen Wealth Partners Holdings, LLC. 213 W Union Ave, Wheaton, IL 60187. Financial Services Holding Company. Limited Partner, Principal and Founding Member. 40 hrs/mo; 40 during trading hrs. Investment related. 9) 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-07-15 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-31 |
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