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Alexander J. Georgiton

Some features on this profile are disabled
CRD#: 5335272
AG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alexander John Georgiton, who also goes by Alexander J Georgiton, was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 2007. Alexander had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alexander J Georgiton

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 10, 2023 - July 2, 2024

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL
Past

June 28, 2022 - May 9, 2023

HARRISDIRECT LLC

RIA
CRD#: 42159
Chicago, IL
Past

June 28, 2022 - May 9, 2023

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHICAGO, IL
Past

October 12, 2018 - May 9, 2023

MORGAN STANLEY

RIA
CRD#: 149777
Chicago, IL
Past

August 17, 2018 - May 9, 2023

MORGAN STANLEY

BD
CRD#: 149777
BALTIMORE, MD
Past

August 2, 2007 - May 9, 2012

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY

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 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/12/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/6/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/13/2019
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/14/2018
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/31/2018
General Securities Sales Supervisor - Options Module Examination

Current Firm

AON SECURITIES LLC
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
AON GROUP, INC.SHAREHOLDER
AS HOLDINGS, INC.SHAREHOLDER
CHAMBLEY, JEFFREY TODDDIRECTOR3129456
DELANEY, WILLIAM LEO JRDIRECTOR (01/1999)/PRESIDENT (06/2000)/GENERAL SECURITIES PRINCIPAL (01/2001)1997937
EHRHART, BRYON GERARDDIRECTOR (05/2002)2932770
MACKUNIS, KENNETH JAMESDIRECTOR2612504
MONAGHAN, KATHLEEN NICOLEDIRECTOR6833059
MORRIS, GREGORY PAULCHIEF COMPLIANCE OFFICER1317320
PASALICH, MAGDALINE GARRISDIRECTOR, CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER7143931
PENNAY, RICHARD ERIK CHARLESCEO (10/2024), DIRECTOR5475857
WARD, BRYAN RICHARDDIRECTOR3107835

Disclosures

Regulatory Event3

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.

Company Information

AON SECURITIES LLC

AON SECURITIES LLC

CRD#: 4138

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