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Richard Erik charles Pennay

AON Securities LLC

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About Richard Erik charles Pennay

Richard Erik charles Pennay is a financial professional with over 14 years of experience in the industry. Richard has a broad range of experience working at several firms including Rewire Securities LLC, SDDCO Brokerage Advisors LLC and Swiss Re Capital Markets Corporation before joining Aon Securities LLC in December 2021. Richard holds the Series 7, Series 24, Series 63, Series 52TO, Series 79TO, Series 99TO, and SIE licenses. Richard is currently registered in 52 states and the District of Columbia. Richard is a Principal at Aon Securities LLC. Aon Securities LLC is a brokerage firm that provides a variety of financial services, including investment banking, brokerage, and advisory services.

Firm Information

Richard Pennay is currently registered with AON Securities LLC. AON Securities LLC is a Limited Liability Company registered with the SEC and in 52 states. The firm, which was formed in 2018, provides fairness opinions, and has 11 registered representatives. Their main office is located in Chicago, Illinois.
AON Securities LLC

200 EAST RANDOLPH STREET

CHICAGO, IL 60601

Not reported

Assets Under Management

Not reported

Total Clients

130

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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fairness opinions

Fairness opinions

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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Richard Pennay’s Registration & Firm History

NY

12/21/2021 - Present

AON Securities LLC (NEW YORK NY)

PA

05/03/2016 - 12/06/2021

REWIRE SECURITIES LLC (Ardmore PA)

PA

09/02/2014 - 05/12/2016

SDDCO BROKERAGE ADVISORS LLC (BALA CYNWYD PA)

NY

04/02/2008 - 06/06/2014

SWISS RE CAPITAL MARKETS CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/13/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 03/14/2016

Series 24 - General Securities Principal Examination

BC

Issued 02/17/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/01/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Erik charles Pennay.
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