{ "crd_number": 4138, "slug": "aon-securities-llc-chicago-il-4138", "primary_business_name": "AON SECURITIES LLC", "legal_name": "AON SECURITIES LLC", "dbas": [], "city": "Chicago", "state": "IL", "country": "United States", "cbsa_code": "16980", "metro": { "cbsa_code": "16980", "common_name": "Chicago", "msa_name": "Chicago-Naperville-Elgin, IL-IN", "path": "/advisors/il/chicago" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2015-09-01", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-03-26", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 14, "advisory_employees": 14, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [ "fixed" ], "advisory_activities": [ "other" ], "wrap_fee_participant": false, "disclosure_yes_count": 5, "states_registered": [ "IL", "NY" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/4138", "disclosure_items": [ { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.H(1)(b)", "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?" } ], "city_as_filed": "CHICAGO", "url": "https://advisorcensus.com/firm/aon-securities-llc-chicago-il-4138", "display_name": "AON Securities LLC", "summary": "AON Securities LLC is an SEC-registered investment advisory firm in Chicago, IL, registered since 2015, with no regulatory assets under management reported in its Form ADV filing dated March 26, 2026.", "citation": "AdvisorCensus. AON Securities LLC (CRD 4138): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "Fixed fees (other than subscription fees)" ], "advisory_activity_labels": [ "Other" ], "quick_answers": [ { "q": "How is AON Securities LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), AON Securities LLC reports these compensation arrangements: fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is AON Securities LLC located?", "a": "AON Securities LLC's principal office is in Chicago, IL, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is AON Securities LLC registered with the SEC or a state?", "a": "AON Securities LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 4138." }, { "q": "How have AON Securities LLC's assets and staff changed since 2021?", "a": "In the Form ADV data for AON Securities LLC: Total employees: 6 in October 2021 and 14 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "Does AON Securities LLC report any disciplinary disclosures?", "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), and 11.H(1)(b) (court finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/4138" }, { "q": "What changed in AON Securities LLC's recent Form ADV filings?", "a": "In the April 2026 filing data: Added an office in New York, NY. Registered or notice-filed in NY." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": null, "total_employees": 6, "filing_date": "2021-04-07" }, { "period": "2022-10-01", "regulatory_assets_under_management": null, "total_employees": 6, "filing_date": "2022-03-25" }, { "period": "2023-10-01", "regulatory_assets_under_management": null, "total_employees": 7, "filing_date": "2023-03-27" }, { "period": "2024-10-01", "regulatory_assets_under_management": null, "total_employees": 11, "filing_date": "2024-08-12" }, { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": 14, "filing_date": "2025-03-28" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": 14, "filing_date": "2026-03-26" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Added an office in New York, NY.", "Registered or notice-filed in NY." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/aon-securities-llc-chicago-il-4138.md", "clients": [], "disclosure_line": "Reports 5 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/4138", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }