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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

THOMAS JAMES GRUSZKA

Advisor at VESTGEN ADVISORS, LLC

CHICAGO, IL

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Search this name across graphsid dfx:ria:b8ad44f4-9953-3e51-cf03-75d41a94cdbf

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Oct 19, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VESTGEN ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 11, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Apr 11, 2000
First registration: Oct 19, 2001
Dual registered: yes, broker-dealer
Other names: THOMAS J GRUSZKA|THOMAS JAMES GRUSZKA|THOMAS JAMES GRUSZKA
IAPD individual key: 4159155

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VESTGEN ADVISORS, LLC	Independent wealth	May 3, 2022	n/a	yes	CHICAGO, IL	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 2, 2018	Dec 21, 2022	no	INVERNESS, IL	Previous registration
Spc	Bd affiliated wealth	Sep 26, 2014	Mar 2, 2018	no	PALATINE, IL\|ANN ARBOR, MI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 17, 2013	Oct 3, 2014	no	PALATINE, IL\|OAK BROOK, IL\|SAN DIEGO, CA\|OAK BROOK, IL	Previous registration
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Oct 5, 2009	Dec 13, 2013	no	ROLLING MEADOWS, IL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Nov 6, 2007	Oct 20, 2009	no	Winnetka, IL	Previous registration
IFMG SECURITIES, INC.	n/a	May 17, 2007	Oct 11, 2007	no	WESTMONT, IL\|BENSENVILLE, IL\|CHICAGO, IL\|ROSEMONT, IL\|PROSPECT HEIGHTS, IL	Previous registration
LASALLE FINANCIAL SERVICES, INC.	n/a	Jun 16, 2004	May 18, 2007	no	MT. PROSPECT, IL\|CHICAGO, IL\|MT. PROSPECT, IL\|ARLINGTON HEIGHTS, IL\|CHICAGO, IL\|CHICAGO, IL\|GLENCOE, IL	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	May 26, 2004	Jun 18, 2004	no	MT PROSPECT, IL	Previous registration
LASALLE FINANCIAL SERVICES, INC.	n/a	Oct 19, 2001	May 25, 2004	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LPL FINANCIAL LLC	VESTGEN ADVISORS, LLC	Dec 21, 2022	May 3, 2022	-232	Firm change after gap	RIA to new firm
Spc	LPL FINANCIAL LLC	Mar 2, 2018	Mar 2, 2018	0	Firm change	Other
LPL FINANCIAL LLC	Spc	Oct 3, 2014	Sep 26, 2014	-7	Firm change	Other
BMO HARRIS FINANCIAL ADVISORS, INC	LPL FINANCIAL LLC	Dec 13, 2013	Dec 17, 2013	4	Firm change	Other
CHARLES SCHWAB & CO., INC.	BMO HARRIS FINANCIAL ADVISORS, INC	Oct 20, 2009	Oct 5, 2009	-15	Firm change	Other
IFMG SECURITIES, INC.	CHARLES SCHWAB & CO., INC.	Oct 11, 2007	Nov 6, 2007	26	Firm change	Other
LASALLE FINANCIAL SERVICES, INC.	IFMG SECURITIES, INC.	May 18, 2007	May 17, 2007	-1	Firm change	Other
BANC ONE SECURITIES CORPORATION	LASALLE FINANCIAL SERVICES, INC.	Jun 18, 2004	Jun 16, 2004	-2	Firm change	Other
LASALLE FINANCIAL SERVICES, INC.	BANC ONE SECURITIES CORPORATION	May 25, 2004	May 26, 2004	1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:318657:IL:2022-12-21	Dec 21, 2022	May 3, 2022	INVERNESS, IL	Firm change after gap

Relationships

Registered with (8)

→ VESTGEN ADVISORS, LLCRegistered adviserregistration: current employment
May 3, 2022 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 2, 2018 to Dec 21, 2022factForm ADV
→ SPCRegistered adviserregistration: previous registration
Sep 26, 2014 to Mar 2, 2018factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Oct 5, 2009 to Dec 13, 2013factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Nov 6, 2007 to Oct 20, 2009factForm ADV
→ IFMG SECURITIES, INC.Registered adviserregistration: previous registration
May 17, 2007 to Oct 11, 2007factForm ADV
→ LASALLE FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 16, 2004 to May 18, 2007factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 26, 2004 to Jun 18, 2004factForm ADV

Dated events

Occurred
Dec 21, 2022
Advisor changed firm
Thomas James Gruszka left Lpl Financial Llc for Vestgen Advisors, Llc (registered 2022-05-03)
Form ADVobserved 6 days ago