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AT

Alexander J. Tuan

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CRD#: 6693350
AT

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.

Alexander James Tuan was a registered financial professional .

Alexander is a previously registered financial professional and started their career in finance in 2018. Alexander had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 13, 2018 - March 12, 2021

HURON TRANSACTION ADVISORY LLC

BD
CRD#: 166959
CHICAGO, IL
Past

September 13, 2018 - October 31, 2018

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
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

State Security Law Exam
RR
Series 63
Date: 8/17/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/13/2018
Investment Banking Registered Representative Examination

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

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#: 166959

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