Kathleen Ann Gfrorer

Investment Adviser Representative at VESTGEN ADVISORS, LLC

Oak Brook, ILCRD #731167Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

45 yrs

States Registered

18 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 18 states

AlabamaArizonaArkansasColoradoDistrict of ColumbiaFloridaIllinoisIndianaIowaKentuckyLouisianaMichiganMinnesotaOhioPennsylvaniaTennesseeTexasWisconsin

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 10/23/1995

Series 63

Uniform Securities Agent State Law Examination

Passed 10/22/1982

Series 27

Financial and Operations Principal Examination

Passed 2/15/2002

Series 24

General Securities Principal Examination

Passed 2/21/1983

Series 99TO

Operations Professional Examination

Passed 1/2/2023

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 5/16/1981

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

12/2/2024 – Oak Brook, IL

PEB FINANCIAL GROUP, INC.

8/24/1987 – 10/1/2002CHICAGO, IL

BALCOR SECURITIES COMPANY

5/18/1981 – 7/1/1987

LPL FINANCIAL LLC

3/24/2023 – 12/3/2024OAK BROOK, IL

SECURITIES AMERICA, INC.

10/3/2002 – 3/30/2023OAK BROOK, IL

SECURITIES AMERICA, INC.

1/31/1997 – 3/3/1997LAVISTA, NE

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. Kathleen Ann Gfrorer 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.