VESTGEN INVESTMENT MANAGEMENT, LLC of EGG HARBOR TWP., NJ is an SEC-registered investment adviser (CRD 118851). Regulatory assets under management: $786.6M.
Compensation: % of AUM, Hourly.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
| Name | Role | Location |
|---|---|---|
| Donald Williams | OPERATIONS DIRECTOR | Carlsbad, CA |
| Gerry David | CEO HOLDING COMPANY | Bentonville, AR |
| James Mark Elliott | CHIEF OPERATIONS OFFICER | Lawrenceville, GA |
| James H Elliott | CHIEF OPERATIONS OFFICER | Vancouver, A1 |
| Timothy Bernard Woods | CHIEF LEGAL COUNSEL | — |
| Joshua David Gerry | CEO HOLDING COMPANY | — |
| Ferian Nickelson | CHIEF OPERATING OFFICER | — |
| Thomas James Ericson | CHIEF COMPLIANCE OFFICER | — |
| John Joseph Hanlon | CO-CHIEF INVESTMENT OFFICER | — |
| HANLON JOHN JOSEPH | CEO AND CO-CHIEF INVESTMENT OFFICER; CEO & PRESIDENT; CHAIRMAN, CEO AND CHIEF INVESTMENT OFFICER (+1 more) | — |
| DOWNHAM DIERDRE A | CHIEF ADMINISTRATIVE OFFICER; CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND CHIEF ADMINISTRATIVE OFFICER | — |
| WILLIAMS ROBERT DONALD | CHIEF OPERATING OFFICER | — |
| ERICSON THOMAS JAMES | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | — |
| DZIURA MARTIN W | CHIEF COMPLIANCE OFFICER | — |
| WOODS TIMOTHY BERNARD | CHIEF LEGAL COUNSEL | — |
| ADAMO CHRISTOPHER | CHIEF COMPLIANCE OFFICER AND SENIOR COUNSEL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-06-04 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, LOOSER CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT HE PARTICIPATED IN 14 PRIVATE SECURITIES TRANSACTIONS WITHOUT PROVIDING PRIOR WRITTEN NOTICE TO HIS MEMBER FIRM OR RECEIVING THE FIRM'S APPROVAL TO PARTICIPATE IN THE TRANSACTIONS. THE FIND… | Final | $10K |