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AS

Andrew Surgan

HURON TRANSACTION ADVISORY LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 5135450
AS

Professional summary

Andrew Surgan, who also goes by Andrew Neil Surgan, is a registered financial professional currently at HURON TRANSACTION ADVISORY LLC located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2009. Andrew has worked at 6 firms and has passed the SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew Neil Surgan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Surgan's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 13, 2026 - Present

HURON TRANSACTION ADVISORY LLC

Office #1: 1166 Avenue Of The Americas 3rd Floor, New York, NY 10036
BD
CRD#: 166959
New York, NY
Past

June 10, 2016 - December 22, 2016

MUFG SECURITIES (CANADA), LTD.

BD
CRD#: 281904
New York, NY
Past

January 3, 2013 - December 22, 2016

MUFG SECURITIES AMERICAS INC.

BD
CRD#: 19685
NEW YORK, NY
Past

April 4, 2011 - January 10, 2013

ALLY SECURITIES LLC

BD
CRD#: 25988
NEW YORK, NY
Past

December 1, 2009 - April 4, 2011

MADISON WILLIAMS AND COMPANY

BD
CRD#: 149530
NEW YORK, NY
Past

August 13, 2009 - December 16, 2009

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 12/22/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/12/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/18/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HT
HURON TRANSACTION ADVISORY LLC
HURON CORPORATE FINANCE LLC | HURON TRANSACTION ADVISORY LLC

CRD#: 166959 / SEC#: , 8-69237

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
550 West Van Buren Street, Suite 1700, Chicago, IL 60607
Mailing Address
550 West Van Buren Street, Suite 1700, Chicago, IL 60607
Phone number
(312) 583-8700
Established
Delaware since 01/30/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HURON CONSULTING GROUP HOLDINGS LLCPARENT
BODINE, JOHN MICHAELPRINCIPAL, EXECUTIVE REPRESENTATIVE4790936
CALDER-KATZ, HOPE ELLENSECRETARY8015749
LENART, BRIAN DOUGLASFINOP, CFO, PFO/POO, CCO, AMLCO736107
PLAIA, STEPHANIE DIANEPRINCIPAL7480477

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

HURON TRANSACTION ADVISORY LLC

CRD#: 166959New York, NY 10036

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