AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TG

Thomas P. Gould

AON SECURITIES
Chicago, IL 60601
Some features on this profile are disabled
CRD#: 1081309
TG

Professional summary

Thomas Patrick Gould, who also goes by Thomas P Gould, Thomas Gould, Tom Gould, is a registered financial professional currently at AON SECURITIES LLC located in Chicago, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 12 firms and has passed the Series 66, Series 63, Series 3, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas P Gould | Thomas Gould | Tom Gould

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Patrick Gould's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 24, 2025 - Present

AON SECURITIES LLC

Office #1: 200 East Randolph Street, Chicago, IL 60601
RIA
BD
CRD#: 4138
Chicago, IL
Past

January 3, 2023 - October 17, 2024

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Chicago, IL
Past

September 26, 2022 - October 22, 2024

CRESSET ASSET MANAGEMENT, LLC

RIA
CRD#: 288566
CHICAGO, IL
Past

August 22, 2019 - March 30, 2022

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Chicago, IL
Past

August 22, 2019 - March 30, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Chicago, IL
Past

August 30, 2017 - April 23, 2019

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
Arlington Heights, IL
Past

August 30, 2017 - April 23, 2019

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

May 29, 2007 - May 5, 2017

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CHICAGO, IL
Past

May 29, 2007 - May 5, 2017

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CHICAGO, IL
Past

April 3, 2007 - April 13, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CHICAGO, IL
Past

April 3, 2007 - April 13, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 16, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
CHICAGO, IL
Past

September 22, 2005 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
CHICAGO, IL
Past

May 7, 1998 - September 30, 2003

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

January 15, 1998 - March 20, 1998

ALL-TECH DIRECT, INC.

BD
CRD#: 13992
MONTVALE, NJ
Past

August 21, 1995 - January 1, 1998

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

August 18, 1994 - October 25, 1994

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 18, 1994 - October 25, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AON SECURITIES LLC
AON SECURITIES LLC
AON BENFIELD SECURITIES, INC. | RBH EQUITIES, INC. | AON SECURITIES LLC | AON SECURITIES INC. | AON SECURITIES CORPORATION | AON CAPITAL MARKETS

CRD#: 4138 / SEC#: 801-106546, 8-14953

RIA
Registered Investment Advisory firm - SEC (9/1/2015 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(11/24/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/13/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/5/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 2/9/2026
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/9/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/17/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/17/2008
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/15/2008
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/23/1999
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/18/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AON SECURITIES LLC
AON SECURITIES LLC
AON BENFIELD SECURITIES, INC. | RBH EQUITIES, INC. | AON SECURITIES LLC | AON SECURITIES INC. | AON SECURITIES CORPORATION | AON CAPITAL MARKETS

CRD#: 4138 / SEC#: 801-106546, 8-14953

RIA
Registered Investment Advisory firm - SEC (9/1/2015 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
200 East Randolph Street, Chicago, IL 60601
Mailing Address
200 East Randolph Street, Chicago, IL 60601
Phone number
(312) 381-4488
Established
Delaware since 09/11/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
14

SEC notice filing (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

AON SECURITIES FORM ADV PART 2A BROCHURE (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AON GROUP, INC.SHAREHOLDER
AS HOLDINGS, INC.SHAREHOLDER
CHAMBLEY, JEFFREY TODDDIRECTOR3129456
DELANEY, WILLIAM LEO JRDIRECTOR (01/1999)/PRESIDENT (06/2000)/GENERAL SECURITIES PRINCIPAL (01/2001)1997937
EHRHART, BRYON GERARDDIRECTOR (05/2002)2932770
MACKUNIS, KENNETH JAMESDIRECTOR2612504
MONAGHAN, KATHLEEN NICOLEDIRECTOR6833059
MORRIS, GREGORY PAULCHIEF COMPLIANCE OFFICER1317320
PASALICH, MAGDALINE GARRISDIRECTOR, CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER7143931
PENNAY, RICHARD ERIK CHARLESCEO (10/2024), DIRECTOR5475857
WARD, BRYAN RICHARDDIRECTOR3107835

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

AON SECURITIES LLC

AON SECURITIES LLC

CRD#: 4138Chicago, IL 60601

TRUST BUT VERIFY

Monitor Thomas Gould

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.