Andrew Surgan
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Andrew Surgan, who also goes by Andrew Neil Surgan, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2009. Andrew had worked at 5 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2016 - December 22, 2016
MUFG SECURITIES (CANADA), LTD.
January 3, 2013 - December 22, 2016
MUFG SECURITIES AMERICAS INC.
April 4, 2011 - January 10, 2013
ALLY SECURITIES LLC
December 1, 2009 - April 4, 2011
MADISON WILLIAMS AND COMPANY
August 13, 2009 - December 16, 2009
SANDERS MORRIS LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MUFG SECURITIES (CANADA), LTD.
CRD#: 281904 / SEC#: , 8-69693
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG SECURITIES AMERICAS INC. | PARENT COMPANY | 19685 |
| GARDNER, CRAIG | OUTSIDE DIRECTOR | 6685620 |
| HSU, WEN-CHUAN | CHIEF COMPLIANCE OFFICER | 2572221 |
| MANSFIELD, WILLIAM RENICK JR | CEO | 1398078 |
| MCDERMOTT, KEITH FRANCIS | CHIEF FINANCIAL OFFICER | 2179486 |
| TESTA, RICHARD CARMINE | MANAGING DIRECTOR, CO-HEAD OF CAPITAL MARKETS | 2573394 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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