Timothy Bernard Woods

Investment Adviser Representative at VESTGEN ADVISORS, LLC

Inverness, ILCRD #4428777Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

25 yrs

States Registered

1 states

Exams Passed

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 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

Series 79TO

Investment Banking Registered Representative Examination

Passed 1/2/2023

Series 99TO

Operations Professional Examination

Passed 1/2/2023

Series 52TO

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

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

10/28/2024 – Inverness, IL

ABN AMRO INCORPORATED

9/24/2007 – 4/3/2008CHICAGO, IL

MCDONALD INVESTMENTS INC.

9/17/2001 – 10/24/2005CLEVELAND, OH

CABOT LODGE SECURITIES LLC

7/30/2021 – 3/24/2022NEW YORK, NY

HIGHTOWER SECURITIES, LLC

5/9/2011 – 5/11/2020CHICAGO, IL

NAVIGANT CAPITAL ADVISORS, LLC

5/29/2008 – 1/4/2011CHICAGO, IL

WILLIAM BLAIR

3/2/2022 – 5/29/2024CHICAGO, IL

LASALLE FINANCIAL SERVICES, INC.

12/12/2005 – 9/25/2007CHICAGO, 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. 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.