Timothy Woods has been Chief Compliance Officer of VestGen Advisors since October 2024, is a control person of the firm and directly owns under 5% of it. Timothy Woods holds a BA from Michigan State University and a J.D. from Cleveland State University.
Vestgen Advisors, LLC is a Chicago, IL firm with $6.67B under management, 22,790 clients and 58 advisers across 17 offices, as of its September 2026 filing.
Timothy Woods is Chief Legal & Compliance Officer of VestGen. His earlier roles include Compliance and Legal Officer at SYSTM Wealth Solutions / William Blair and CCO and Broker/Dealer Counsel at Wentworth Management Services. He was an early team member and in-house counsel at Hightower.
Timothy Woods’ longest registration was 9 years at Hightower Advisors, LLC (2011–2020). Before joining VestGen Advisors in 2025, Timothy Woods was registered through William Blair & Company L.L.C. and CL Wealth Management LLC.
- Vestgen Advisors, LLCCurrent– present · 1 yearChicago, IL · Adviser representative · Firm CRD 318657
- William Blair & Company L.L.C.– · 2 yearsChicago, IL · Adviser representative · Firm CRD 1252
- CL Wealth Management LLC– · under a yearChicago, IL · Adviser representative · Firm CRD 134922
- Hightower Advisors, LLC– · 9 yearsChicago, IL · Adviser representative · Firm CRD 145323
- Lasalle Financial Services, Inc.– · 1 yearChicago, IL · Adviser representative · Firm CRD 20373
- McDonald Investments Inc.– · under a yearCleveland, OH · Adviser representative · Firm CRD 566
Investment adviser representative registrations
Timothy Woods is registered as an investment adviser representative in Illinois, since July 2025.
- IllinoisSince 25 July 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 31 | Futures Managed Funds Examination | 30 August 2013 |
| Series 53 | Municipal Securities Principal Examination | 6 July 2011 |
| Series 66 | Uniform Combined State Law Examination | 19 August 2005 |
| Series 24 | General Securities Principal Examination | 11 February 2005 |
| Series 14 | Compliance Officer Examination | 21 January 2005 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 21 December 2004 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 21 December 2004 |
| Series 7 | General Securities Representative Examination | 30 April 2003 |
| Series 27 | Financial and Operations Principal Examination | 16 August 2001 |
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Futures Managed Funds Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Compliance Officer Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Representative Examination
- Name
- Financial and Operations Principal Examination
- Full name
- Timothy Bernard Woods
- CRD
- 4428777
- Firm
- VestGen Advisors · CRD 318657
- Role
- Chief Compliance Officer
- Office
- 1 NORTH FRANKLIN, SUITE 1850, Chicago, IL 60606
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2003
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- vestgen.com
Where does Timothy Woods work?
Timothy Woods has been Chief Compliance Officer of Vestgen Advisors, LLC since October 2024, and is a control person of the firm.
Is Timothy Woods a financial advisor?
Yes. Timothy Woods has a current investment-adviser registration in Illinois, through VestGen Advisors since July 2025.
How many years of experience does Timothy Woods have?
Timothy Woods has 22 years in the financial industry, since December 2003, across 6 adviser firms.
What exams has Timothy Woods passed?
Timothy Woods has passed 12 licensing exams: the Series 27, Series 7, Series 10, Series 9, Series 14, Series 24, Series 66, Series 53, Series 31, Series 79TO, Series 99TO and Series 52TO. The earliest, the Series 27, was passed in August 2001. FINRA credited Timothy Woods with the SIE, which began in October 2018.
Where did Timothy Woods work before VestGen Advisors?
Before VestGen Advisors, Timothy Woods was registered through William Blair & Company L.L.C., March 2022 to May 2024; CL Wealth Management LLC, July 2021 to March 2022; Hightower Advisors, LLC, May 2011 to May 2020; Lasalle Financial Services, Inc., December 2005 to September 2007; McDonald Investments Inc., August 2005 to October 2005.
Where is Timothy Woods based?
Timothy Woods’ registered office is in Chicago, IL.
Is Timothy Woods registered with FINRA?
Yes. Timothy Woods has a current broker registration, under CRD 4428777.
Source: FINRA BrokerCheck
How can I verify Timothy Woods’ record?
Search CRD 4428777 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Timothy Woods’ full registration record.
