Nathalie M. Luke

Some features on this profile are disabled

CRD#: 2183293

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.

Nathalie Marie Hazel Luke, who also goes by Nathalie Marie Luke, was a registered financial professional .

Nathalie is a previously registered financial professional and started their career in finance in 2001. Nathalie had worked at 2 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nathalie Marie Luke

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

February 16, 2005 - October 23, 2017

AON SECURITIES LLC

CRD#: 4138

TAMPA, FL

Past

May 18, 2001 - February 21, 2003

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

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

General Industry/Product Exam

SIE

Date: 10/23/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/2001

General Securities 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See 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

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

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nathalie M. Luke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AON SECURITIES LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AON SECURITIES LLC

State Registrations and Notice Filings

Exams

SIE

Date: 10/23/2017

Series 7

Date: 5/17/2001

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

Similar Advisors