WA
William F. Allen
AON SECURITIES LLC
New York, NY 10006
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CRD#: 5453202
WA
Professional summary
William Francis Stafford Allen, who also goes by William Francis Stafford Allen, William Fs Allen, is a registered financial professional currently at AON SECURITIES LLC located in New York, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 2008. William has worked at 6 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE and Series 17 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
William Francis Stafford Allen | William Fs Allen
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 William Francis Stafford Allen'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
August 2, 2024 - Present
AON SECURITIES LLC
Office #1: One Liberty Plaza 165 Broadway, Suite 3201, New York, NY 10006RIA
BD
CRD#: 4138
New York, NY
Past
August 19, 2020 - April 7, 2022
PICKWICK CAPITAL PARTNERS, LLC
BD
CRD#: 130672
WHITE PLAINS, NY
Past
August 6, 2012 - July 24, 2020
KEEFE, BRUYETTE & WOODS, INC.
BD
CRD#: 481
BOSTON, MA
Past
December 1, 2009 - June 19, 2012
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
BOSTON, MA
Past
May 1, 2008 - December 1, 2009
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
BD
CRD#: 10485
BOSTON, MA
Past
January 16, 2008 - May 5, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
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
California(1/22/2025)
RR
Colorado(1/22/2025)
RR
Connecticut(8/8/2024)
RR
Florida(8/8/2024)
RR
Illinois(8/8/2024)
RR
Massachusetts(8/8/2024)
RR
Montana(1/31/2025)
RR
New Hampshire(8/8/2024)
RR
New York(8/8/2024)
RR
Texas(1/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/9/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 8/2/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 17
Date: 1/15/2008
Limited Registered Representative ExaminationSRO 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.
