Daniel E. Vazquez

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CRD#: 1309998

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Eugene Vazquez, who also goes by Dan Vazquez, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1984. Daniel had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Vazquez

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 11, 2014 - August 5, 2016

AON SECURITIES LLC

CRD#: 4138

Bloomington, MN

Past

May 31, 2007 - April 1, 2014

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

MINNEAPOLIS, MN

Past

November 16, 2001 - May 31, 2007

CLARK SECURITIES, INC.

CRD#: 43803

MINNEAPOLIS, MN

Past

October 23, 1993 - August 25, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

March 15, 1993 - November 15, 2001

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

November 27, 1992 - March 6, 1993

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

November 27, 1992 - March 6, 1993

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

October 24, 1984 - June 6, 1989

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

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

RIA

Registered Investment Advisory firm - SEC (9/1/2015 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/24/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AON SECURITIES LLC

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

RIA

Registered Investment Advisory firm - SEC (9/1/2015 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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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

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

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

Name	Position	CRD#
AON GROUP, INC.	SHAREHOLDER
AS HOLDINGS, INC.	SHAREHOLDER
CHAMBLEY, JEFFREY TODD	DIRECTOR	3129456
DELANEY, WILLIAM LEO JR	DIRECTOR (01/1999)/PRESIDENT (06/2000)/GENERAL SECURITIES PRINCIPAL (01/2001)	1997937
EHRHART, BRYON GERARD	DIRECTOR (05/2002)	2932770
MACKUNIS, KENNETH JAMES	DIRECTOR	2612504
MONAGHAN, KATHLEEN NICOLE	DIRECTOR	6833059
MORRIS, GREGORY PAUL	CHIEF COMPLIANCE OFFICER	1317320
PASALICH, MAGDALINE GARRIS	DIRECTOR, CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	7143931
PENNAY, RICHARD ERIK CHARLES	CEO (10/2024), DIRECTOR	5475857
WARD, BRYAN RICHARD	DIRECTOR	3107835

Disclosures

Regulatory Event

Red Flags

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Daniel E. Vazquez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST ALLIED SECURITIES, INC.

CLARK SECURITIES, INC.

PRUCO SECURITIES, LLC.

MUTUAL SERVICE CORPORATION

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

AON SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/4/1992

SIE

Date: 8/5/2016

Series 6

Date: 11/24/1992

Current Firm

AON SECURITIES LLC

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AON SECURITIES LLC

TRUST BUT VERIFY

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