VG
Vincent E. Gumbs
AON SECURITIES LLC
Fort Washington, PA 19034
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CRD#: 6850751
VG
Professional summary
Vincent Edward Gumbs Sr., who also goes by VIncent Edward Gumbs, is a registered financial professional currently at AON SECURITIES LLC located in Fort Washington, Pennsylvania.
Vincent is registered as a RR (Registered Representative) and started their career in finance in 2017. Vincent has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Vincent Edward Gumbs
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 Vincent Edward Gumbs Sr.'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
October 14, 2019 - Present
AON SECURITIES LLC
Office #1: 1100 Virginia Drive Suite 250, Fort Washington, PA 19034RIA
BD
CRD#: 4138
Fort Washington, PA
Past
November 17, 2017 - November 5, 2018
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MARLTON, 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
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
Alabama(10/14/2019)
RR
Alaska(10/14/2019)
RR
Arizona(10/14/2019)
RR
Arkansas(10/14/2019)
RR
California(10/14/2019)
RR
Colorado(10/14/2019)
RR
Connecticut(10/14/2019)
RR
Delaware(10/14/2019)
RR
District of Columbia(10/14/2019)
RR
Florida(10/14/2019)
RR
Georgia(10/14/2019)
RR
Hawaii(10/14/2019)
RR
Idaho(10/14/2019)
RR
Illinois(10/14/2019)
RR
Indiana(10/14/2019)
RR
Iowa(10/14/2019)
RR
Kansas(10/14/2019)
RR
Kentucky(10/14/2019)
RR
Louisiana(10/14/2019)
RR
Maine(10/14/2019)
RR
Maryland(10/14/2019)
RR
Massachusetts(10/14/2019)
RR
Michigan(10/14/2019)
RR
Minnesota(10/14/2019)
RR
Mississippi(10/14/2019)
RR
Missouri(10/14/2019)
RR
Montana(10/14/2019)
RR
Nebraska(10/14/2019)
RR
Nevada(10/14/2019)
RR
New Hampshire(10/14/2019)
RR
New Jersey(10/14/2019)
RR
New Mexico(10/14/2019)
RR
New York(10/14/2019)
RR
North Carolina(10/14/2019)
RR
North Dakota(10/14/2019)
RR
Ohio(10/14/2019)
RR
Oklahoma(10/14/2019)
RR
Oregon(10/14/2019)
RR
Pennsylvania(10/14/2019)
RR
Rhode Island(10/14/2019)
RR
South Carolina(10/14/2019)
RR
South Dakota(10/14/2019)
RR
Tennessee(10/14/2019)
RR
Texas(10/14/2019)
RR
Utah(10/14/2019)
RR
Vermont(10/14/2019)
RR
Virginia(10/14/2019)
RR
Washington(10/14/2019)
RR
West Virginia(10/14/2019)
RR
Wisconsin(10/14/2019)
RR
Wyoming(10/14/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO 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.
