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SP

Stephanie D. Plaia

HURON TRANSACTION ADVISORY LLC
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 7480477
SP

Professional summary

Stephanie Diane Plaia, who also goes by Stephanie Diane Chard, is a registered financial professional currently at HURON TRANSACTION ADVISORY LLC located in Chicago, Illinois.

Stephanie is registered as a RR (Registered Representative) and started their career in finance in 2023. Stephanie has worked at 1 firm and has passed the Series 63, Series 79TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephanie Diane Chard

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 Stephanie Diane Plaia'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

February 27, 2023 - Present

HURON TRANSACTION ADVISORY LLC

Office #1: 550 West Van Buren Street, Suite 1700, Chicago, IL 60607
BD
CRD#: 166959
Chicago, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(2/28/2023)
RR
Illinois
(2/28/2023)
RR
New York
(2/28/2023)
RR
Utah
(2/28/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/26/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/27/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/22/2023
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

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#: 166959Chicago, IL 60607

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