Gregory R. Roenfeldt

AON SECURITIES LLC

Chicago, IL 60601

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CRD#: 4458640

Professional summary

Gregory Richard Roenfeldt is a registered financial professional currently at AON SECURITIES LLC located in Chicago, Illinois.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 2001. Gregory has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Gregory Richard Roenfeldt's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 6, 2018 - Present

AON SECURITIES LLC

Office #1: 200 East Randolph Street, Chicago, IL 60601

RIA

CRD#: 4138

Chicago, IL

Past

January 15, 2015 - August 8, 2018

GRV SECURITIES LLC

CRD#: 138348

CHICAGO, IL

Past

January 17, 2013 - June 10, 2014

ROTH CAPITAL PARTNERS, LLC

RIA

CRD#: 15407

CHICAGO, IL

Past

January 17, 2013 - June 10, 2014

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407

CHICAGO, IL

Past

August 18, 2006 - November 20, 2012

ADVANCED EQUITIES, INC.

CRD#: 35545

CHICAGO, IL

Past

December 4, 2001 - December 31, 2005

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

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.

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

Illinois
(9/6/2018)

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

IAR

Series 65

Date: 6/8/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/6/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/3/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/24/2014

General Securities Principal Examination

SRO Registrations

FINRA

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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Check for any disclosures as part of your thorough research when choosing an advisor.

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Gregory R. Roenfeldt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Richard Roenfeldt's CRS (Customer Relationship Summary).

Certified licenses

Experience

GRV SECURITIES LLC

ROTH CAPITAL PARTNERS, LLC

ROTH CAPITAL PARTNERS, LLC

ADVANCED EQUITIES, INC.

DWS DISTRIBUTORS, INC.

Primary Firm SEC Registration

AON SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2012

Series 63

Date: 3/6/2002

SIE

Date: 10/1/2018

Series 7

Date: 10/16/2006

Series 6

Date: 12/3/2001

Series 24

Date: 1/24/2014

FINRA

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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