Form MA/A WILLIS SECURITIES, INC.

November 26, 2021 5:54 PM EST

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    MA/A
    
      
        0001146172
        XXXXXXXX
      
      
        Ryan Fitzpatrick
        212-309-3494
      
      ryan.fitzpatrick@willistowerswatson.com
      
        ryan.fitzpatrick@willistowerswatson.com
        iann.villar@willistowerswatson.com
      
    
  
  
    WILLIS SECURITIES, INC.
    116605
    Willis Capital Markets & Advisory
    13-3042558
    
      
        866-01117-00
      
      
        
          
            008-53563
            116605
          
          
            
              
                NY
              
            
          
        
      
    
    
      
        
          200 LIBERTY STREET, 7th FLOOR
          NEW YORK
          NY
          10281
        
      
      212-309-3494
    
    N
    https://www.willistowerswatson.com/en-US/Solutions/securities
    
      
        Ryan
        Edward
        Fitzpatrick
      
      
        Chief Operating Officer
      
      
200 LIBERTY STREET, 7th FLOOR New York NY 10281
212-309-3494 ryan.fitzpatrick@willistowerswatson.com
William Jay Dubinsky CEO
200 LIBERTY STREET, 7th FLOOR New York NY 10281
212-915-7770 William.Dubinsky@WillisTowersWatson.com
Add Willis North America Inc. 26 Century Blvd Nashville TN 37214 615-872-3700 General Ledger, tax calculations, bank agreements and statements, deposit slips/check register, other supporting financial documents, WSI minute book, Articles of Incorporation willis towers watson securities europe limited N December DE 06-27-1977 N 5 1 1 0 0 0 Municipal Entities Other Other agencies of municipal entities 0 0 0 Not Applicable Fixed Fees Contingent Fees Not Applicable Advice Insurance Of MS Y Y N Broker-dealer municipal securities dealer or government securities broker or dealer 1 Add Broker-dealer municipal securities dealer or government securities broker or dealer William Jay Dubinsky William Jay Dubinsky N Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Bradley Livingston Bradley Livingston N Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Howard Michael Bruch Howard Michael Bruch N Y N Delete Broker-dealer municipal securities dealer or government securities broker or dealer Ryan Edward Fitzpatrick Ryan Fitzpatrick N Y N N Y N N Y N N N N N N N N WILLIS TOWERS WATSON PLC 0001140536 Schedule B 2020 MA-A was filed early in September and the MA/A is being filed in lieu of the required MA-A for the fiscal year ending 12/31/2020. Associated Persons update. N N N N N N N N N N N N N N N Y N N N N N N N N N Y Willis of Michigan, Inc. N 38-2322310 Sole shareholder 12-01-1996 E Y Ryan Edward Fitzpatrick Chief Compliance Officer / Chief Operating Officer 12-03-2018 NA Y 2726698 William Jay Dubinsky President / CEO 05-21-2010 NA Y 3086399 Michael Gerard Glynn FINOP 04-01-2007 NA N 3219445 Willis Netherlands Holdings BV Willis Towers Watson Sub Holdings Unlimited Company N 981261616 Sole shareholder 06-30-2015 E Y Willis Investment UK Holdings Ltd Willis Netherlands Holdings BV N Sole shareholder 11-01-2009 E Y BV34367289 TA I Limited Willis Investment UK Holdings Ltd N Sole shareholder 11-01-2009 E Y 6677275 Willis Towers Watson UK Holdings Limited TA I Limited N Sole shareholder 06-30-2015 E Y 3588080 Willis Group Limited Trinity Acquisition PLC N Sole shareholder 11-01-2009 E Y 3588435 Willis North America Inc. Willis Group Limited N Sole shareholder 11-01-1998 E Y 621757 Willis US Holding Company, Inc. Willis North America Inc. N 13-5654526 Sole shareholder 10-01-2008 E Y Willis HRH Inc. Willis US Holding Company, Inc. N 26-3420930 Sole shareholder 10-01-2008 E Y Willis of Michigan, Inc. Willis HRH Inc. N 26-3135154 Sole Shareholder 10-01-2008 E Y Willis Towers Watson Sub Holdings Unlimited Company Willis Towers Watson PLC Y 98-0352587 Sole Shareholder 06-30-2015 E Y Trinity Acquisition PLC Willis Towers Watson UK Holdings Limited N 981348145 Sole Shareholder 06-30-2015 E Y Willis of Michigan, Inc. N 38-2322310 Sole shareholder 12-01-1996 E Y Ryan Edward Fitzpatrick Chief Compliance Officer / Chief Operating Officer 12-03-2018 NA Y 2726698 William Jay Dubinsky President / CEO 05-21-2010 NA Y 3086399 Michael Gerard Glynn FINOP 04-01-2007 NA N 3219445 Willis Netherlands Holdings BV Willis Towers Watson Sub Holdings Unlimited Company N 981261616 Sole shareholder 06-30-2015 E Y Willis Investment UK Holdings Ltd Willis Netherlands Holdings BV N Sole shareholder 11-01-2009 E Y BV34367289 TA I Limited Willis Investment UK Holdings Ltd N Sole shareholder 11-01-2009 E Y 6677275 Willis Towers Watson UK Holdings Limited TA I Limited N Sole shareholder 06-30-2015 E Y 3588080 Willis Group Limited Trinity Acquisition PLC N Sole shareholder 11-01-2009 E Y 3588435 Willis North America Inc. Willis Group Limited N Sole shareholder 11-01-1998 E Y 621757 Willis US Holding Company, Inc. Willis North America Inc. N 13-5654526 Sole shareholder 10-01-2008 E Y Willis HRH Inc. Willis US Holding Company, Inc. N 26-3420930 Sole shareholder 10-01-2008 E Y Willis of Michigan, Inc. Willis HRH Inc. N 26-3135154 Sole Shareholder 10-01-2008 E Y Willis Towers Watson Sub Holdings Unlimited Company Willis Towers Watson PLC Y 98-0352587 Sole Shareholder 06-30-2015 E Y Trinity Acquisition PLC Willis Towers Watson UK Holdings Limited N 981348145 Sole Shareholder 06-30-2015 E Y 9-E2 Other ATL-1257-AWC 1 Whitehall Street New York NY 10004 WILLIS EQUITIES, INC. (THE APPLICANT FIRM) IS THE SAME ENTITY WHICH WAS CBL EQUITIES, INC. (FORMED AS A CORPORATION ON 06/27/1977 IN DELAWARE). CBL EQUITIES, INC. WAS AN NASD REGISTERED BROKER/DEALER WHICH WAS TERMINATED IN MAY OF 1998. CBL EQUITIES, INC. REMAINED A DORMANT CORPORATION UNTIL RECENT RESTRUCTURING OF THE WILLIS ENTITIES, AND WAS RENAMED AS WILLIS EQUITIES, INC. 12-28-1990 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Censure $500 Fine Annuity(ies) - Variable Mutual Fund(S) RESPONDENT MEMBER FAILED, AND RESPONDENT MITCHELL PERMITTED IT TO FAIL, TO HAVE WRITTEN SUPERVISORY PROCEDURES. 12-28-1990 Acceptance Waiver & Consent (AWC) Y CivilAdminPenaltyFine 500.00 500.00 02-21-1991 500.00 Ryan Fitzpatrick Ryan Fitzpatrick COO / CCO 11-08-2021 2726698 N N N Y N Y N N N N Y N Y N N N N Y Y N N


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