AON SECURITIES LLC
Adviser information for AON SECURITIES LLC last updated from Form ADV on March 19th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 11 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | FAIRNESS OPINIONS |
|---|---|
| Compensation | Fixed fees |
| Other Business Activities | Broker-dealerCommodity pool operator or commodity trading advisor |
Principal Office
200 EAST RANDOLPH STREETCHICAGO
IL
United States
Monday - Friday, 8:00 A.M. - 5 P.M.
Tel: 312-381-4488, Fax: 312-381-6185
Chief Compliance Officer
GREGORY MORRIS
CHIEF COMPLIANCE OFFICER
200 EAST RANDOLPH STREET
CHICAGO
IL
United States
Tel:
312/381-9947
Fax:
312/381-6185
G*************@******M
(Full email address available in API data)
Regulatory Contact
JEAN RACEK
COMPLIANCE DIRECTOR
200 EAST RANDOLPH STREET
CHICAGO
IL
United States
Tel:
312/381-4515
Fax:
312/381-6185
J*********@******M
(Full email address available in API data)
Industry Affiliates
| AON ADVANTAGE FUNDS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| AON INVESTMENTS USA INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorPension consultantSponsor, GP, manager of pooled investment vehicles |
| AON SECURITIES (HONG KONG) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| AON SECURITIES LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| AON SOLUTIONS IRELAND LIMITED | Other investment adviser, including financial plannersPension consultant |
| AON TRUST COMPANY | Banking or thrift institution |
| MARILLA INVESTMENT MANAGEMENT LTD. | Other investment adviser, including financial planners |
| TOWNSEND HOLDINGS LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AON GROUP, INC. | Domestic Entity | – | SHAREHOLDER | 05/1998 | > 75% |
| EHRHART, BRYON GERARD | Individual | – | DIRECTOR (05/2002) | 05/2002 | < 5% |
| DELANEY, WILLIAM LEO JR | Individual | – | DIRECTOR (01/1999)/PRESIDENT (06/2000)/GENERAL SECURITIES PRINCIPAL (01/2001) | 01/1999 | < 5% |
| SCHULTZ, PAUL THOMAS | Individual | – | CEO (06/2013) | 07/2004 | < 5% |
| AON CORPORATION | Domestic Entity | AON GROUP, INC. | SHAREHOLDER | 02/1997 | > 75% |
| MACKUNIS, KENNETH JAMES | Individual | – | DIRECTOR | 09/2012 | < 5% |
| AON GLOBAL LIMITED | Foreign Entity | AON GLOBAL HOLDINGS LIMITED [UK] | SHAREHOLDER | 01/2015 | > 75% |
| AON GLOBAL HOLDINGS LIMITED | Foreign Entity | AON CORPORATION | SHAREHOLDER | 01/2015 | > 75% |
| MORRIS, GREGORY PAUL | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2016 | < 5% |
| SULLIVAN, BRIAN PATRICK | Individual | – | DIRECTOR, CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 10/2018 | < 5% |
| AS HOLDINGS, INC. | Domestic Entity | – | SHAREHOLDER | 12/2018 | 5-10% |
| MONAGHAN, KATHLEEN NICOLE | Individual | – | DIRECTOR | 07/2022 | < 5% |
| RANDOLPH FINANCE ULC [IE] | Foreign Entity | AON GLOBAL LIMITED | SHAREHOLDER | 04/2020 | > 75% |
| AON PLC [IE] | Foreign Entity | RANDOLPH FINANCE ULC [IE] | SHAREHOLDER | 04/2020 | > 75% |
| CHAMBLEY, JEFFREY TODD | Individual | – | DIRECTOR | 07/2022 | < 5% |
| PENNAY, RICHARD ERIK CHARLES | Individual | – | DIRECTOR | 07/2022 | < 5% |
| WARD, BRYAN RICHARD | Individual | – | DIRECTOR | 07/2022 | < 5% |