Louis W. Higier
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.
Louis W Higier, who also goes by Louis William Higier, Louis William Schine Higier, Louis Higier, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1985. Louis had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 13, 2021 - March 14, 2025
EMPOWER FINANCIAL SERVICES, INC.
January 13, 2015 - March 3, 2020
ALLSPRING FUNDS DISTRIBUTOR, LLC
May 23, 2012 - November 26, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2011 - February 29, 2012
AMUNDI DISTRIBUTOR US, INC.
August 4, 2008 - May 17, 2011
BOFA DISTRIBUTORS, INC.
November 28, 2006 - August 4, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 2005 - November 16, 2006
METROPOLITAN LIFE INSURANCE COMPANY
July 1, 2005 - November 16, 2006
MSI FINANCIAL SERVICES, INC.
July 1, 2004 - April 1, 2005
GOLDK INVESTMENT SERVICES, INC
July 12, 2002 - April 4, 2003
KEYPORT FINANCIAL SERVICES CORP.
February 26, 1998 - April 4, 2003
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 19, 1995 - September 20, 1996
NATIXIS DISTRIBUTION, LLC
November 16, 1993 - August 19, 1994
DEAM INVESTOR SERVICES, INC.
July 24, 1985 - July 14, 1986
FINANCIAL SCIENCES, INC.
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
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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