Keith Brian Mooney

Investment Adviser Representative at VESTGEN ADVISORS, LLC

South Barrington, ILCRD #2562218Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

32 yrs

States Registered

19 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 19 states

AlabamaArizonaColoradoFloridaGeorgiaIllinoisIndianaIowaMarylandMichiganMissouriNew YorkNorth CarolinaOhioPennsylvaniaTennesseeTexasWashingtonWisconsin

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 2/13/1997

Series 63

Uniform Securities Agent State Law Examination

Passed 11/17/1994

Series 24

General Securities Principal Examination

Passed 12/22/1997

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 1/27/1997

Series 6

Investment Company Products/Variable Contracts Representative Examination

Passed 11/17/1994

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

LPL FINANCIAL LLC

9/8/2009 – 9/18/2019SOUTH BARRINGTON, IL

TRIAD ADVISORS LLC

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

OSAIC WEALTH, INC.

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

SIGNATOR INVESTORS, INC.

7/24/1997 – 4/12/2004BOSTON, MA

ASSOCIATED SECURITIES CORP.

3/18/2004 – 9/8/2009SOUTH BARRINGTON, IL

PRUCO SECURITIES CORPORATION

11/21/1994 – 7/16/1997NEWARK, NJ

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. Keith Brian 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.