Keith Brian Mooney

Current Employers

Employment History

• 09/2009 → 08/2019
  Lpl Financial, Llc
  South Barrington, IL
• 12/2014 → 08/2019
  Sequioa Wealth Management, Llc
  South Barrington, IL
• 08/2019 → 08/2024
  Triad Advisors
  Norcross, GA
• 08/2019 → 09/2024
  Triad Hybrid Solutions
  Norcross, GA
• 08/2024 → 11/2024
  Osaic Wealth, Inc.
  South Barrington, IL
• 11/2024 → Present
  Private Client Services
  South Barrington, IL
• 11/2024 → Present
  Vestgen Advisors, Llc
  South Barrington, IL

Previous Registrations

• 2019-08-30 → 2024-11-08
  Osaic Advisory Services, Llc
  South Barrington, IL
  Atlanta, GA
• 2014-12-19 → 2019-09-26
  Sequoia Wealth Management, Llc
  South Barrington, IL
  Barrington, IL
• 2009-09-25 → 2015-10-28
  Lpl Financial Llc
  South Barrington, IL
• 2008-01-09 → 2009-09-29
  Associated Planners Investment Advisory Inc
  South Barrington, IL
  Boston, MA
• 2006-06-28 → 2008-01-10
  Associated Securities Corp.
  Boston, MA
  South Barrington, IL
  South Barrington, IL
• 1999-10-11 → 2004-04-12
  Signator Investors, Inc.
  Schaumburg, IL

Other Businesses

1) Capital Financial Education Group. 1 Executive Court, Suite #5, South Barrington, IL 60010. Not for profit organization we run educational seminars through. President, secretary, treasurer, organize and teach educational seminars. 10 hrs/mo; 0 during trading hrs. Not investment related. 2) Illinois Notary Public. 1 Executive Court, Suite #5, South Barrington, IL 60010. Notary Public; only use as needed. Do no market or offer out to public. 1 hr/mo; 1 during trading hrs. Not investment related. 3) Non-Variable Annuities & Insurance Prodcuts. 1 Executive Court, Suite #5, South Barrington, IL 60010. Solicit and write non-variable annuities and insurance products. 5 hrs/mo; 5 during trading hrs. Investment related. 4) Keith B. Mooney & Associates. 1 Executive Court, Suite #5, South Barrington, IL 60010. Previous DBA, we still have insurance and annuity contracts under this agent. President, secretary, treasurer, director; continue servicing contracts under this agent. 2 hrs/mo; 2 during trading hrs. Investment 5) VestGen Wealth Partners Holdings LLC, Wheaton IL, financial services holding company, co-founder and partner, investment related, 5 hours per month, 0 during trading hours. 6) Mooney Family LLC. 1 Executive Court, Suite #5, South Barrington, IL 60010. Owns Business Building. Manager. 0 hrs/mo; 0 during trading hrs. Not investment related. 7) Real Estate Agent/Broker. 1 Executive Court, Suite #5, South Barrington, IL 60010. Real Estate Broker License. Broker/Agent. 1 hr/mo; 0 during trading hrs. Not investment related. 8) VestGen Advisors, LLC. 1605 West Colonial Parkway, Inverness, IL 60067. RIA. 120 hrs/mo; 120 during trading hrs. 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.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-02-13
• S63 Uniform Securities Agent State Law Examination
  1994-11-17

Designations