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Matthew Wallace

Chief Compliance Officer at Aon Investments USA

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Matthew Wallace is Chief Compliance Officer of Aon Investments USA Inc., a Chicago investment adviser managing $151B. Matthew Wallace has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Aon Investments USA

Title on Schedule A
Chief Compliance Officer
Control
Matthew Wallace is not a control person of Aon Investments USA.
Ownership
An individual ownership band is not available in the source record.
Tenure
Matthew Wallace has held the filed role since April 2021.

The firm

Aon Investments USA Inc.
Chicago, IL

Form ADV filed 25 March 2026

$151B AUM579 clients248 advisers15 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 24 · 2008
  3. Passed Series 7 · 2007
  4. Passed Series 26 · 2006
  5. Passed Series 6 and Series 63 · 2004

Registrations and exams

Broker registration; no current adviser registration. Matthew Wallace has passed 6 qualifying exams.

Examinations

Series 6330 July 2004
Name
Uniform Securities Agent State Law Examination
Series 2411 January 2008
Name
General Securities Principal Examination
Series 262 November 2006
Name
Investment Company Products/Variable Contracts Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 714 November 2007
Name
General Securities Representative Examination
Series 623 July 2004
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Matthew Bradley Wallace
CRD
4829197
Firm
Aon Investments USA Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Matthew Wallace work?

Matthew Wallace has been Chief Compliance Officer of Aon Investments USA Inc. since April 2021.

Source: Form ADV, Schedule A, filed 25 March 2026

Does Matthew Wallace have a current investment-adviser registration?

Matthew Wallace has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Matthew Wallace passed?

Matthew Wallace has passed 6 licensing exams: the Series 6, Series 63, Series 26, Series 7, Series 24 and SIE. The earliest, the Series 6, was passed in July 2004.

Source: IAPD individual record, checked 18 October 2026

Leadership at Aon Investments USA

Sources

  1. IAPD individual record, CRD 4829197. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Aon Investments USA Inc., filed 25 March 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Matthew Wallace or Aon Investments USA Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.