RH
Richard D. Higgs
OFG FINANCIAL SERVICES
TOPEKA, KS 66604
Some features on this profile are disabled
CRD#: 1420586
RH
Professional summary
Richard Dale Higgs JR, who also goes by Richard D. Higgs Jr, Rick Higgs Jr, Rick Higgs, is a registered financial advisor currently at OFG FINANCIAL SERVICES, INC. located in Topeka, Kansas.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Richard has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard D. Higgs Jr | Rick Higgs Jr | Rick Higgs
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.
D/B/A - HIGGS FINANCIAL SERVICES-PRESIDENT/OWNER-INSURANCE SALES-LIFE, GROUP, LTC, HEALTH & FIXED ANNUITIES-SALES, SERVICE & MANAGEMENT-COMMISSIONS-20% TIME SPENT; Wabunsee Pines Golf Course - Board Memeber.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Dale Higgs JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Dale Higgs JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 8, 2010 - Present
OFG FINANCIAL SERVICES, INC.
Office #1: 5100 Sw 10th, Suite 201, Topeka, KS 66604Office #2: 5100 Sw 10th Street Suite 201, Topeka, KS 66604RIA
BD
CRD#: 23940
TOPEKA, KS
Current
May 7, 1993 - Present
OFG FINANCIAL SERVICES, INC.
Office #1: 5100 Sw 10th Street Suite 201, Topeka, KS 66604RIA
BD
CRD#: 23940
Topeka, KS
Past
December 9, 1992 - April 18, 2000
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
January 21, 1986 - November 23, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
OF
OFG FINANCIAL SERVICES, INC.
DEARBORN AND CREGGS, INC. | SECURITY FINANCIAL SERVICES, INC. | PATHWAY FINANCIAL SOLUTIONS | OGDON FINANCIAL SERVICES, INC. | OFG FINANCIAL SERVICES, INC. | MODERN ADVISOR GROUP
CRD#: 23940 / SEC#: 801-127727, 8-40770
RIA
Registered Investment Advisory firm - SEC (4/24/2023 Approved)Arizona
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Missouri
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/14/2025 Terminated)Texas
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/29/2021)
RR
Kansas(7/15/1993)
IAR
Kansas(2/8/2010)
RR
Missouri(2/18/1998)
RR
Texas(1/23/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/16/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OF
OFG FINANCIAL SERVICES, INC.
DEARBORN AND CREGGS, INC. | SECURITY FINANCIAL SERVICES, INC. | PATHWAY FINANCIAL SOLUTIONS | OGDON FINANCIAL SERVICES, INC. | OFG FINANCIAL SERVICES, INC. | MODERN ADVISOR GROUP
CRD#: 23940 / SEC#: 801-127727, 8-40770
RIA
Registered Investment Advisory firm - SEC (4/24/2023 Approved)Arizona
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Kansas
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Missouri
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (1/14/2025 Terminated)Texas
Registered Investment Advisory firm - SEC (1/8/2025 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Townsite Plaza #2, Suite # 105 Townsite Plaza #2, Suite 105, Topeka, KS 66603-3515
Mailing Address
Townsite Plaza #2, Suite # 105 120 Se 6th Avenue, Topeka, KS 66603-3515
Phone number
(785) 233-4071
Established
Kansas since 12/12/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
37
SEC notice filing (5 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 850 |
| AUM (Assets Under Management) | $ 270,000,000 |
Disclosures
| Regulatory Event | 2 |
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
OFG FINANCIAL SERVICES, INC.
CRD#: 23940Topeka, KS 66604TRUST BUT VERIFY
Monitor Richard Higgs
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
