James J. Higgins
Professional summary
James Joseph Higgins is a registered financial professional currently at FMSBONDS, INC. located in Boca Raton, Florida.
James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Higgins's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2009 - Present
FMSBONDS, INC.
Office #1: 4775 Technology Way, Boca Raton, FL 33431May 10, 2004 - March 11, 2009
MORGAN STANLEY & CO. LLC
May 10, 1999 - May 3, 2004
BELLE HAVEN INVESTMENTS, L.P.
April 6, 1994 - February 2, 1999
JPMSI
April 3, 1991 - December 13, 1993
SBC WARBURG DILLON READ INC.
August 31, 1990 - December 24, 1990
TD WEALTH MANAGEMENT SERVICES INC.
August 24, 1983 - June 8, 1990
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/17/2009)
(4/16/2009)
(3/11/2009)
(5/10/2011)
(3/6/2009)
(4/6/2009)
(4/27/2010)
(7/20/2010)
(9/23/2009)
(1/17/2019)
(3/11/2009)
(6/18/2009)
(4/21/2009)
(4/14/2011)
(3/6/2009)
(5/5/2009)
(3/6/2009)
(4/6/2009)
(2/1/2017)
(3/11/2009)
(4/16/2009)
(8/25/2011)
(7/30/2010)
(4/7/2017)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FMSBONDS, INC.
CRD#: 7793 / SEC#: , 8-23280
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEINSILVER, PAUL | CHAIRMAN OF THE BOARD | 500389 |
| KLOTZ, JAMES ARNOLD | PRESIDENT | 500438 |
| GUERRISE, MATTHEW ANTHONY | CHIEF COMPLIANCE OFFICER | 2673770 |
| PARKER, ANNE MICHELLE | SROP AND CROP | 2226034 |
| SELIGSOHN, MICHAEL STEVEN | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | 2189850 |
| SWINARSKI, THEODORE ANTHONY | SENIOR VICE PRESIDENT - TRADING SUPERVISOR | 1584451 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Company Information
FMSBONDS, INC.
CRD#: 7793Boca Raton, FL 33431TRUST BUT VERIFY
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