Bret James Mooney

Investment Adviser Representative at VESTGEN ADVISORS, LLC

South Barrington, ILCRD #6963921Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

7 yrs

States Registered

4 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 4 states

FloridaIllinoisTexasWisconsin

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 7/11/2019

Series 7TO

General Securities Representative Examination

Passed 4/22/2019

SIE

Securities Industry Essentials Examination

Passed 3/14/2019

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

VESTGEN Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

PRIVATE CLIENT SERVICES, LLCCurrent

11/1/2024 – South Barrington, IL

TRIAD ADVISORS LLC

8/30/2019 – 8/23/2024South Barrington, IL

OSAIC WEALTH, INC.

8/23/2024 – 11/11/2024South Barrington, IL

LPL FINANCIAL LLC

4/22/2019 – 9/18/2019SOUTH BARRINGTON, IL

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Bret James Mooney has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.