SS
Shannon M. Spiewak
AON SECURITIES LLC
Bloomington, MN 55437
Some features on this profile are disabled
CRD#: 3216750
SS
Professional summary
Shannon Marie Spiewak, who also goes by Shannon Marie Dalbec, is a registered financial professional currently at AON SECURITIES LLC located in Bloomington, Minnesota.
Shannon is registered as a RR (Registered Representative) and started their career in finance in 1999. Shannon has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Shannon Marie Dalbec
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 Shannon Marie Spiewak'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
April 17, 2014 - Present
AON SECURITIES LLC
Office #1: 5600 West 83rd Street 8200 Tower, Suite 1100, Bloomington, MN 55437RIA
BD
CRD#: 4138
Bloomington, MN
Past
May 31, 2007 - April 1, 2014
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
KANSAS CITY, MO
Past
November 16, 2001 - May 31, 2007
CLARK SECURITIES, INC.
BD
CRD#: 43803
GREENSBORO, NC
Past
May 11, 2001 - November 15, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
May 4, 1999 - April 6, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 4, 1999 - April 6, 2001
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 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
Arkansas(4/17/2014)
RR
Colorado(1/21/2021)
RR
Connecticut(1/7/2015)
RR
Florida(4/17/2014)
RR
Georgia(4/17/2014)
RR
Hawaii(1/18/2024)
RR
Illinois(4/17/2014)
RR
Iowa(1/21/2021)
RR
Maryland(1/2/2018)
RR
Massachusetts(4/17/2014)
RR
Minnesota(4/17/2014)
RR
Montana(1/7/2015)
RR
New Hampshire(4/17/2014)
RR
New Jersey(1/7/2015)
RR
New York(4/17/2014)
RR
North Carolina(4/17/2014)
RR
North Dakota(4/17/2014)
RR
Ohio(4/17/2014)
RR
Pennsylvania(4/17/2014)
RR
South Dakota(1/7/2015)
RR
Texas(4/17/2014)
RR
West Virginia(4/17/2014)
RR
Wisconsin(4/17/2014)
RR
Wyoming(1/7/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
