Suzanne G. Higginbotham
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.
Suzanne G Higginbotham was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1986. Suzanne had worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2017 - October 26, 2023
VESTECH SECURITIES, INC.
March 25, 2016 - August 16, 2017
VESTECH SECURITIES, INC.
June 9, 1996 - December 4, 2012
OAKBRIDGE FINANCIAL SERVICES
June 3, 1996 - March 23, 2016
OAKBRIDGE FINANCIAL SERVICES
November 21, 1986 - June 5, 1996
CHARLOTTE S. COHEN & COMPANY, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
VESTECH SECURITIES, INC.
CRD#: 41409 / SEC#: , 8-49409
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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