Brian J. Finnerty

AON SECURITIES LLC

Fort Washington, PA 19034

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CRD#: 4472190

Professional summary

Brian Joseph Finnerty is a registered financial professional currently at AON SECURITIES LLC located in Fort Washington, Pennsylvania.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2002. Brian has worked at 7 firms and has passed the Series 66, SIE and Series 7 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 Brian Joseph Finnerty'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

January 30, 2019 - Present

AON SECURITIES LLC

Office #1: 1100 Virginia Drive Suite 250, Fort Washington, PA 19034

RIA

CRD#: 4138

Fort Washington, PA

Past

January 20, 2015 - February 16, 2017

WHITAKER SECURITIES LLC

CRD#: 121465

NEW YORK, NY

Past

June 1, 2012 - January 7, 2015

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

April 27, 2011 - June 1, 2012

CHAPDELAINE TULLETT PREBON, LLC

CRD#: 7017

NEW YORK, NY

Past

February 27, 2006 - May 9, 2011

GFI SECURITIES LLC

CRD#: 19982

NEW YORK, NY

Past

September 10, 2003 - December 13, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 19, 2002 - September 25, 2003

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Indiana
(1/30/2019)

New York
(1/30/2019)

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 66

Date: 4/3/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/2002

General Securities Representative 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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Brian J. Finnerty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Joseph Finnerty's CRS (Customer Relationship Summary).

Certified licenses

Experience

WHITAKER SECURITIES LLC

TULLETT PREBON FINANCIAL SERVICES LLC

CHAPDELAINE TULLETT PREBON, LLC

GFI SECURITIES LLC

RAYMOND JAMES FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

AON SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/3/2002

SIE

Date: 2/16/2017

Series 7

Date: 3/18/2002

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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