# AON Securities LLC

> 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.

- CRD: 4138
- Filed as: AON SECURITIES LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Chicago, IL
- Filing period: October 2026
- Form ADV filing dated: March 26, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/4138
- AdvisorCensus page: https://advisorcensus.com/firm/aon-securities-llc-chicago-il-4138

## Quick answers

**How is AON Securities LLC compensated?**
On its Form ADV (Item 5.E, October 2026), AON Securities LLC reports these compensation arrangements: fixed fees (other than subscription fees).

**Where is AON Securities LLC located?**
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).

**Is AON Securities LLC registered with the SEC or a state?**
AON Securities LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 4138.

**How have AON Securities LLC's assets and staff changed since 2021?**
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.

**Does AON Securities LLC report any disciplinary disclosures?**
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

**What changed in AON Securities LLC's recent Form ADV filings?**
In the April 2026 filing data: Added an office in New York, NY. Registered or notice-filed in NY.

## From the Form ADV filing

### Compensation (Item 5.E)
- Fixed fees (other than subscription fees)

### Advisory services (Item 5.G)
- Other

### Firm details
- Registered since: 2015 (11 years)
- Employees: 14 total, 14 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IL, NY
- Disclosures (Item 11): Reports 5 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.H(1)(b): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/4138

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- New York, NY

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | 6 | April 7, 2021 |
| October 2022 | Not reported | 6 | March 25, 2022 |
| October 2023 | Not reported | 7 | March 27, 2023 |
| October 2024 | Not reported | 11 | August 12, 2024 |
| October 2025 | Not reported | 14 | March 28, 2025 |
| October 2026 | Not reported | 14 | March 26, 2026 |

Total employees: 6 in October 2021 and 14 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Added an office in New York, NY.
- Registered or notice-filed in NY.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. AON Securities LLC (CRD 4138): Form ADV filing data as of October 2026.