JB
Joseph P. Brooks
AON SECURITIES LLC
New York, NY 10006
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CRD#: 3107533
JB
Professional summary
Joseph Paschal Brooks III, who also goes by Joseph P Brooks III, Joseph P Brooks, Joseph Paschal Brooks, Paschal Brooks, is a registered financial professional currently at AON SECURITIES LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 2 firms and has passed the Series 63, Series 3, Series 7TO, Series 79TO, Series 7, Series 62, Series 24 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joseph P Brooks Iii | Joseph P Brooks | Joseph Paschal Brooks | Paschal Brooks
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.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Paschal Brooks III's 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®
NoneExperience
Current
June 23, 2023 - Present
AON SECURITIES LLC
Office #1: One Liberty Plaza 165 Broadway, Suite 3201, New York, NY 10006RIA
BD
CRD#: 4138
New York, NY
Past
November 6, 2006 - November 28, 2011
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
Past
September 1, 2000 - July 8, 2003
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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 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
Alabama(6/27/2023)
RR
Alaska(6/27/2023)
RR
Arizona(6/27/2023)
RR
Arkansas(6/27/2023)
RR
California(6/27/2023)
RR
Colorado(6/27/2023)
RR
Connecticut(6/27/2023)
RR
Delaware(6/27/2023)
RR
District of Columbia(6/27/2023)
RR
Florida(6/27/2023)
RR
Georgia(6/27/2023)
RR
Hawaii(6/27/2023)
RR
Idaho(6/27/2023)
RR
Illinois(6/27/2023)
RR
Indiana(6/27/2023)
RR
Iowa(6/27/2023)
RR
Kansas(6/27/2023)
RR
Kentucky(6/27/2023)
RR
Louisiana(6/27/2023)
RR
Maine(6/27/2023)
RR
Maryland(6/27/2023)
RR
Massachusetts(6/27/2023)
RR
Michigan(6/27/2023)
RR
Minnesota(6/27/2023)
RR
Mississippi(6/27/2023)
RR
Missouri(6/27/2023)
RR
Montana(6/27/2023)
RR
Nebraska(6/27/2023)
RR
Nevada(6/27/2023)
RR
New Hampshire(6/27/2023)
RR
New Jersey(6/27/2023)
RR
New Mexico(6/27/2023)
RR
New York(6/23/2023)
RR
North Carolina(6/27/2023)
RR
North Dakota(6/27/2023)
RR
Ohio(6/27/2023)
RR
Oklahoma(6/27/2023)
RR
Oregon(6/27/2023)
RR
Pennsylvania(6/27/2023)
RR
Rhode Island(6/27/2023)
RR
South Carolina(6/27/2023)
RR
South Dakota(6/27/2023)
RR
Tennessee(6/27/2023)
RR
Texas(6/27/2023)
RR
Utah(6/27/2023)
RR
Vermont(6/27/2023)
RR
Virginia(6/27/2023)
RR
Washington(6/27/2023)
RR
West Virginia(6/27/2023)
RR
Wisconsin(6/27/2023)
RR
Wyoming(6/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/9/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 6/22/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/31/2000
Corporate Securities Limited Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
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)
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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
14
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
