{ "crd_number": 317602, "slug": "willis-towers-watson-securities-llc-chicago-il-317602", "primary_business_name": "WILLIS TOWERS WATSON SECURITIES, LLC", "legal_name": "WILLIS TOWERS WATSON 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": "2026-09-17", "years_registered": 0, "period": "2026-10-01", "filing_date": "2026-09-15", "carried_forward": false, "raum_total": 0.0, "raum_discretionary": 0.0, "raum_non_discretionary": 0.0, "raum_band": "under_25m", "raum_band_label": "Under $25 million", "total_employees": 5, "advisory_employees": 0, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "financial_planning", "portfolio_management_individuals" ], "wrap_fee_participant": true, "disclosure_yes_count": 0, "states_registered": [ "CA", "IL", "NY", "TX" ], "websites": [ "https://viaretirement.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/317602", "city_as_filed": "CHICAGO", "url": "https://advisorcensus.com/firm/willis-towers-watson-securities-llc-chicago-il-317602", "display_name": "Willis Towers Watson Securities, LLC", "summary": "Willis Towers Watson Securities, LLC is an SEC-registered investment advisory firm in Chicago, IL, registered since 2026, reporting under $25 million in regulatory assets under management in its Form ADV filing dated September 15, 2026.", "citation": "AdvisorCensus. Willis Towers Watson Securities, LLC (CRD 317602): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Financial planning services", "Portfolio management for individuals and/or small businesses" ], "quick_answers": [ { "q": "How is Willis Towers Watson Securities, LLC compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Willis Towers Watson Securities, LLC reports these compensation arrangements: a percentage of assets under its management." }, { "q": "Where is Willis Towers Watson Securities, LLC located?", "a": "Willis Towers Watson Securities, LLC's principal office is in Chicago, IL, according to its Form ADV." }, { "q": "Is Willis Towers Watson Securities, LLC registered with the SEC or a state?", "a": "Willis Towers Watson Securities, LLC is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 317602." }, { "q": "How much does Willis Towers Watson Securities, LLC manage?", "a": "Willis Towers Watson Securities, LLC reports $0 in regulatory assets under management in its Form ADV filing dated September 15, 2026." }, { "q": "Does Willis Towers Watson Securities, LLC report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/317602" }, { "q": "Does Willis Towers Watson Securities, LLC state an account minimum?", "a": "Its Form ADV Part 2A brochure dated August 18, 2026 says: \"Our minimum account size is generally $50,000. WTWS evaluates each situation individually and reserves the right to waive or adjust this minimum, as well as decline any potential Client, for any reason.\"" }, { "q": "What changed in Willis Towers Watson Securities, LLC's recent Form ADV filings?", "a": "In the October 2026 filing data: Moved from state registration to SEC registration. Registered or notice-filed in CA, IL, TX. Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [], "recent_changes": [ { "period": "2026-10-01", "period_label": "October 2026", "notes": [ "Moved from state registration to SEC registration.", "Registered or notice-filed in CA, IL, TX.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated August 18, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": null, "stated_maximum": null, "account_minimum": "$50,000", "account_minimum_may_be_waived": true, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Account minimum", "statements": [ "Account minimum: $50,000 (the brochure says it may be waived or negotiated)" ], "quotes": [ "Our minimum account size is generally $50,000. WTWS evaluates each situation individually and reserves the right to waive or adjust this minimum, as well as decline any potential Client, for any reason." ] } ], "values": { "tiers": [], "range_pct": null, "max_pct": null, "account_minimum": 50000.0, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "Our minimum account size is generally $50,000. WTWS evaluates each situation individually and reserves the right to waive or adjust this minimum, as well as decline any potential Client, for any reason." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/willis-towers-watson-securities-llc-chicago-il-317602.md", "clients": [], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/317602", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }