Thomas Ericson is not listed as a control person, but directly owns under 5% of VestGen Advisors. Thomas Ericson holds a BA in Accounting from Mercyhurst College and a JD from Penn State Dickinson School of Law.
VestGen Advisors is an investment adviser based in Chicago, IL, registered with the SEC since 2022. It provides financial planning and investment management. Its clients include high-net-worth individuals and individual clients. Its regulatory assets under management total $6.67 billion, as filed on 11 September 2026. Its fees, ownership and offices are on the firm’s profile.
Thomas J. Ericson is Director, Compliance of VestGen Wealth Partners. He rejoined the company in June 2021. Before rejoining, he served as Chief Legal Officer and Compliance Officer for several broker-dealers and investment advisers. He is a frequent lecturer to producer groups and national associations on compliance related matters.
- CRD
- 2334305
- Firm
- VestGen Advisors · CRD 318657
- Role
- Senior Compliance Officer
- In role since
- November 2024 · 1 year
- Control person
- Not listed
- Direct ownership
- Under 5%
- Firm headquarters
- Chicago, IL
- Individual registration
- No current adviser record · SEC search
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- vestgen.com
Where does Thomas Ericson work?
Thomas Ericson has been Senior Compliance Officer of Vestgen Advisors, LLC since November 2024.
How can I verify Thomas Ericson’s record?
Thomas Ericson’s role is listed on Vestgen Advisors, LLC’s Form ADV, which the SEC’s adviser search (adviserinfo.sec.gov) publishes under the firm’s CRD 318657.
