Matthew B. Wallace

AON SECURITIES LLC

Chicago, IL 60601

Some features on this profile are disabled

CRD#: 4829197

Professional summary

Matthew Bradley Wallace, who also goes by Matthew B Wallace, Matt Wallace, is a registered financial professional currently at AON SECURITIES LLC located in Chicago, Illinois.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2004. Matthew has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matthew B Wallace | Matt Wallace

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 Matthew Bradley Wallace'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

May 6, 2021 - Present

AON SECURITIES LLC

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

RIA

CRD#: 4138

Chicago, IL

Past

August 10, 2016 - June 6, 2019

PORTFOLIO BROKERAGE SERVICES, INC.

CRD#: 18554

CHICAGO, IL

Past

March 29, 2016 - July 27, 2016

BMO INVESTMENT DISTRIBUTORS, LLC

CRD#: 146711

CHICAGO, IL

Past

January 13, 2015 - May 26, 2015

BMO INVESTMENT DISTRIBUTORS, LLC

CRD#: 146711

CHICAGO, IL

Past

May 18, 2010 - July 24, 2014

AMG DISTRIBUTORS, INC.

CRD#: 27314

CHICAGO, IL

Past

August 21, 2007 - May 6, 2010

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

March 31, 2005 - August 8, 2007

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

COLUMBUS, OH

Past

July 26, 2004 - March 10, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

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
(6/4/2021)

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

Series 63

Date: 7/30/2004

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: 11/14/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/23/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/11/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 11/2/2006

Investment Company Products/Variable Contracts 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)

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

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew B. Wallace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Bradley Wallace's CRS (Customer Relationship Summary).

Certified licenses

Experience

PORTFOLIO BROKERAGE SERVICES, INC.

BMO INVESTMENT DISTRIBUTORS, LLC

BMO INVESTMENT DISTRIBUTORS, LLC

AMG DISTRIBUTORS, INC.

CALAMOS FINANCIAL SERVICES LLC

EMPOWER FINANCIAL SERVICES, INC.

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

AON SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/30/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/14/2007

Series 6

Date: 7/23/2004

Series 24

Date: 1/11/2008

Series 26

Date: 11/2/2006

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

Similar Advisors