James Kim

Investment Adviser Representative at VESTGEN ADVISORS, LLC

Oak Brook, ILCRD #4649932Investment Adviser Rep

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

23 yrs

States Registered

4 states

Exams Passed

Registrations & licenses

Registration type

Investment Adviser Rep

Registered in 4 states

FloridaIllinoisIndianaTexas

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 12/22/2017

Series 63

Uniform Securities Agent State Law Examination

Passed 12/29/2007

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 6

Investment Company Products/Variable Contracts Representative Examination

Passed 12/27/2007

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

10/1/2025 – Oak Brook, IL

SIGNATOR INVESTORS, INC.

9/8/2008 – 12/10/2008ROSEMONT, IL

OSAIC WEALTH, INC.

8/23/2024 – 10/3/2025Oak Brook, IL

THE O.N. EQUITY SALES COMPANY

8/1/2018 – 2/15/2023CHICAGO, IL

BANC ONE SECURITIES CORPORATION

5/8/2003 – 11/29/2004CHICAGO, IL

TRIAD ADVISORS LLC

3/8/2023 – 8/23/2024Oak Brook, IL

HORNOR, TOWNSEND & KENT, INC.

12/3/2008 – 7/26/2018CHICAGO, IL

BANC OF AMERICA INVESTMENT SERVICES, INC.

1/1/2008 – 6/23/2008CHICAGO, 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. James Kim 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.