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Broker-dealer firm · Chicago, IL

Willis Towers Watson Securities, LLC

SEC-registered investment adviser · CRD 317602 · SEC 801-137326

At a glance

Willis Towers Watson Securities, LLC is an SEC-registered investment adviser based in Chicago, Illinois, with $0 in regulatory assets under management as of its Form ADV filed September 15, 2026. By Form ADV it is a broker-dealer firm, ranked 384th of 391 broker-dealer firms and 16,712th of 17,210 SEC-registered advisers by assets.

Main office 516-375-0126viaretirement.comAs filed on Form ADV

Regulatory AUM
$0M
Rank among broker-dealer firms
#384 of 391
Rank among all SEC RIAs
#16,712 of 17,210
Rank in Illinois
#670 of 684
Clients
0
Accounts
0
Discretionary
0% of AUM
Employees
5
Advisory staff
0
Offices
1

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Willis Towers Watson Securities, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Willis Towers Watson Securities, LLC is a hybrid RIA: 5 of its employees are also registered representatives of a broker-dealer.

Its Form ADV brochure (filed August 2026) names Cetera Advisor Networks as the broker-dealer its advisers are registered with.

Earls is also a registered representative and investment adviser representative of Cetera Advisor Networks, LLC, a registered broker- dealer, investment adviser, and FINRA member.

Other hybrid RIAs

Disciplinary disclosures

Willis Towers Watson Securities, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗

Services

  • Financial planning
  • Portfolio management for individuals and small businesses

How it’s paid

  • A percentage of assets under management

Form ADV and brochures on the SEC’s adviser search ↗viaretirement.com ↗

AtlasMembers

The full record on Willis Towers Watson Securities, LLC

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff from each filing
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Growth over one, three and five years
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Rank against 28 peers of its type and size
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Owners and executives, with titles and stakes
5 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
1Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Willis Towers Watson Securities, LLC manage?

Willis Towers Watson Securities, LLC reports $0 in regulatory assets under management, on its Form ADV filed September 15, 2026.

What kind of firm is Willis Towers Watson Securities, LLC?

Willis Towers Watson Securities, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.

Does Willis Towers Watson Securities, LLC have any disciplinary history?

Willis Towers Watson Securities, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.

Where these numbers come from

Every figure is Willis Towers Watson Securities, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-15), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →