James P. Ohiggins
Professional summary
James Patrick Ohiggins is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Ohiggins's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 28, 2020 - Present
PICKWICK CAPITAL PARTNERS, LLC
Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601May 24, 2007 - December 2, 2019
ICBC STANDARD SECURITIES INC.
September 9, 2004 - May 23, 2007
BARCLAY INVESTMENTS LLC
September 10, 2003 - August 20, 2004
MORGAN KEEGAN & COMPANY, LLC
August 17, 2000 - July 22, 2003
BANC OF AMERICA SECURITIES LLC
May 27, 1997 - September 11, 2000
UBS FINANCIAL SERVICES INC.
May 2, 1994 - May 29, 1997
ORMES CAPITAL MARKETS, INC.
August 23, 1990 - April 26, 1994
GLEACHER & COMPANY SECURITIES, INC.
October 3, 1989 - August 6, 1990
KIDDER, PEABODY & CO. INCORPORATED
August 8, 1985 - August 21, 1989
UBS SECURITIES LLC
October 3, 1983 - November 10, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
June 22, 1983 - March 28, 1984
UBS FINANCIAL SERVICES 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
(5/28/2020)
(5/28/2020)
(5/28/2020)
(5/28/2020)
(5/28/2020)
(5/28/2020)
Exams
FINRA
Current Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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