Scott A. Fiedler
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.
Scott Alan Fiedler, who also goes by Scott A Fiedler, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 28 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2007 - October 19, 2017
AON SECURITIES LLC
January 11, 2002 - February 21, 2003
PALMER & CAY SECURITIES CORPORATION
December 6, 2001 - December 12, 2001
PALMER & CAY SECURITIES CORPORATION
February 2, 2001 - February 21, 2003
PALMER & CAY INVESTMENT SERVICES INC
November 21, 2000 - December 17, 2001
LAMON & STERN, INC.
January 29, 1998 - October 25, 2000
LONDON PACIFIC SECURITIES, INC.
October 27, 1992 - December 31, 1997
AMERICAN GENERAL SECURITIES INCORPORATED
August 24, 1988 - October 14, 1992
F & G SECURITIES, INC.
November 10, 1986 - October 15, 1988
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
AON SECURITIES LLC
CRD#: 4138 / SEC#: 801-106546, 8-14953
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 11/9/2001
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
AON SECURITIES LLC
CRD#: 4138 / SEC#: 801-106546, 8-14953
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (52 States and Territories)
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 | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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