Richard E. Higginbotham
Professional summary
Richard Earle Higginbotham is a registered financial advisor currently at RIVERWAY ASSET MANAGEMENT, INC. located in Houston, Texas.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Richard has worked at 4 firms and has passed the Series 63, SIE, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Earle Higginbotham's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 23, 2003 - Present
RIVERWAY ASSET MANAGEMENT, INC.
January 27, 2000 - November 21, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 2, 1997 - December 31, 1999
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 27, 1995 - September 4, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 12, 1985 - January 20, 1995
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/23/2003)
Exams
Series 62
Date: 10/12/1988
Corporate Securities Limited Representative ExaminationCurrent Firm
RIVERWAY ASSET MANAGEMENT, INC.
CRD#: 118004 / SEC#:
Contact information
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