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Timothy Bernard Woods

Investment Adviser Representative at VESTGEN ADVISORS, LLC

Chicago, ILCRD #4428777Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
23 yrs
States Registered
1 states
Exams Passed
13

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Timothy Bernard Woods has worked in the securities industry since 2003. They have passed the Series 99, 79, 66, 53, 52, 31, 27, 24, 14, 10, 9, and 7 examinations. They are registered to provide investment advisory services in Illinois.

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Illinois
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 8/19/2005
Series 79
Investment Banking Registered Representative Examination
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 8/30/2013
Series 7
General Securities Representative Examination
Passed 4/30/2003
Series 53
Municipal Securities Principal Examination
Passed 7/6/2011
Series 24
General Securities Principal Examination
Passed 2/11/2005
Series 14
Compliance Officer Examination
Passed 1/21/2005
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 12/21/2004
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 12/21/2004
Series 27
Financial and Operations Principal Examination
Passed 8/16/2001

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Blended rate
0.025
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.

VESTGEN ADVISORS, LLCCurrent
7/25/2025 – Chicago, IL
WILLIAM BLAIR & COMPANY L.L.C.
3/2/2022 – 5/29/2024Chicago, IL
CL WEALTH MANAGEMENT LLC
7/30/2021 – 3/24/2022Chicago, IL
HIGHTOWER ADVISORS, LLC
5/9/2011 – 5/11/2020Chicago, IL
LASALLE FINANCIAL SERVICES, INC.
12/12/2005 – 9/25/2007Chicago, IL
MCDONALD INVESTMENTS INC.
8/22/2005 – 10/24/2005Cleveland, OH

Official records & sources

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

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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. Timothy Bernard Woods 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.

BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.

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Timothy Bernard Woods - Financial Advisor in Chicago, IL | AdvisorFinder