DH
David L. Higgins
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CRD#: 1053717
DH
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.
David Langley Higgins, CIMA® was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
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.
LaGonave Haiti Partners, Inc. / 2461 Peachtree Rd., NE Atlanta, GA 30305 / United States / Charity / http://lagonavepartners.org/ / Haitian and American partners, working side by side in mutually-transformative relationships, to build vibrant, hopeful, and resilient communities on the island of la Gon�ve. Partners are principally American churches that support small communities on LaGonave, providing support in construction, medical aide, economic development, supporting teachers, raising goats and a variety of other charitable programs. / Member of a committee with management / supervisor functions / They would like me to serve on their finance committee as a member, not as the chairman. / Start Date 10/7/2019 / My Vision for Refugees, Inc. / 2625 Piedmont Road N.E., Suite 56-330AtlantaGA30324 / "My Vision for Refugees strives to provide former refugees and orphans with opportunities for healing, growth and full participation in society. They do this through the provision of basic human needs, trauma informed care and opportunities for a quality education. My Vision for Refugees, Inc. is a 501 (c)(3) organization that gives hope and a chance at a legitimate future to former refugees, orphans and vulnerable children who need help in Guinea, West Africa. Their first orphanage, Home of Hope, opened in 2015 in N'zerekore, Guinea." / Member of Board of directors / I will attend annual and periodic board meetings, help on an advisory capacity, and with fund raising and other issues related to governance, such as working on review of their current bylaws. / 6/1/2022
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®
Experience
Past
February 2, 2009 - April 19, 2024
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
ATLANTA, GA
Past
January 22, 2009 - January 6, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
ATLANTA, GA
Past
March 31, 2003 - February 10, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ATLANTA, GA
Past
November 7, 2000 - February 10, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ATLANTA, GA
Past
April 12, 1993 - November 17, 2000
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
January 14, 1991 - April 23, 1993
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
August 26, 1982 - November 2, 1990
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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
UBS FINANCIAL SERVICES INC.
Senior Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
