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RIA / WealthAdvisorCertified Financial Planner|Chartered Financial Consultantdual registered (broker-dealer)31 years in industry

KEITH BRIAN MOONEY

Advisor at VESTGEN ADVISORS, LLC

CHICAGO, IL | South Barrington, IL

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Search this name across graphsid dfx:ria:e3c88cc7-dd14-a184-2c37-d5a784da5886

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Oct 11, 1999 to Sep 15, 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: Nov 17, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner|Chartered Financial Consultant
Exams: S65|S63
First exam: Nov 17, 1994
First registration: Oct 11, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 2562218

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	Nov 1, 2024	n/a	yes	CHICAGO, IL\|South Barrington, IL	Current employment
OSAIC ADVISORY SERVICES, LLC	Bd affiliated wealth	Aug 30, 2019	Nov 8, 2024	no	South Barrington, IL\|ATLANTA, GA	Previous registration
SEQUOIA WEALTH MANAGEMENT, LLC	Independent wealth	Dec 19, 2014	Sep 26, 2019	no	SOUTH BARRINGTON, IL\|BARRINGTON, IL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 25, 2009	Oct 28, 2015	no	SOUTH BARRINGTON, IL	Previous registration
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	n/a	Jan 9, 2008	Sep 29, 2009	no	SOUTH BARRINGTON, IL\|BOSTON, MA	Previous registration
ASSOCIATED SECURITIES CORP.	n/a	Jun 28, 2006	Jan 10, 2008	no	BOSTON, MA\|SOUTH BARRINGTON, IL\|SOUTH BARRINGTON, IL	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Oct 11, 1999	Apr 12, 2004	no	SCHAUMBURG, 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
OSAIC ADVISORY SERVICES, LLC	VESTGEN ADVISORS, LLC	Nov 8, 2024	Nov 1, 2024	-7	Firm change	Ibd to RIA
SEQUOIA WEALTH MANAGEMENT, LLC	OSAIC ADVISORY SERVICES, LLC	Sep 26, 2019	Aug 30, 2019	-27	Firm change	RIA to ibd
LPL FINANCIAL LLC	SEQUOIA WEALTH MANAGEMENT, LLC	Oct 28, 2015	Dec 19, 2014	-313	Firm change after gap	Other
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	LPL FINANCIAL LLC	Sep 29, 2009	Sep 25, 2009	-4	Firm change	Other
ASSOCIATED SECURITIES CORP.	ASSOCIATED PLANNERS INVESTMENT ADVISORY INC	Jan 10, 2008	Jan 9, 2008	-1	Firm change	Other
SIGNATOR INVESTORS, INC.	ASSOCIATED SECURITIES CORP.	Apr 12, 2004	Jun 28, 2006	807	Firm change after gap	Other

Team moves

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

Team	Left	Joined	From	Kind
170543:171070:IL:2019-09-26	Sep 26, 2019	Aug 30, 2019	BARRINGTON, IL	Firm change
6413:170543:IL:2015-10-28	Oct 28, 2015	Dec 19, 2014	SOUTH BARRINGTON, IL	Firm change after gap

Relationships

Registered with (7)

→ VESTGEN ADVISORS, LLCRegistered adviserregistration: current employment
Nov 1, 2024 to presentfactForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Aug 30, 2019 to Nov 8, 2024factForm ADV
→ SEQUOIA WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 19, 2014 to Sep 26, 2019factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Sep 25, 2009 to Oct 28, 2015factForm ADV
→ ASSOCIATED PLANNERS INVESTMENT ADVISORY INCRegistered adviserregistration: previous registration
Jan 9, 2008 to Sep 29, 2009factForm ADV
→ ASSOCIATED SECURITIES CORP.Registered adviserregistration: previous registration
Jun 28, 2006 to Jan 10, 2008factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
Oct 11, 1999 to Apr 12, 2004factForm ADV

Dated events

Occurred
Nov 8, 2024
Advisor changed firm
Keith Brian Mooney left Osaic Advisory Services, Llc for Vestgen Advisors, Llc (registered 2024-11-01)
Form ADVobserved 6 days ago