Mark L. 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.
Mark Lloyd Higginbotham was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2017 - July 6, 2021
EDELMAN FINANCIAL ENGINES
August 3, 2016 - January 9, 2017
HARRISDIRECT LLC
August 3, 2016 - January 9, 2017
E*TRADE SECURITIES LLC
September 18, 2015 - July 15, 2016
BANCWEST INVESTMENT SERVICES, INC.
September 18, 2015 - July 15, 2016
BANCWEST INVESTMENT SERVICES, INC.
March 21, 2014 - September 18, 2015
SCOTTRADE, INC.
July 5, 2007 - February 24, 2014
TD AMERITRADE, INC.
September 7, 2006 - February 24, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 5, 2006 - February 24, 2014
TD AMERITRADE, INC.
June 2, 2006 - June 13, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
June 2, 2006 - June 13, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 24, 2005 - March 27, 2006
ADVANCED EQUITIES, INC.
March 24, 2005 - March 27, 2006
ADVANCED EQUITIES, INC.
September 9, 2004 - March 23, 2005
CITICORP INVESTMENT SERVICES
September 8, 2004 - March 23, 2005
CITICORP INVESTMENT SERVICES
September 13, 2002 - September 2, 2004
MORGAN STANLEY DW INC.
September 9, 2002 - September 2, 2004
MORGAN STANLEY DW INC.
February 26, 1999 - September 3, 2002
BNY MELLON SECURITIES CORPORATION
February 3, 1997 - September 3, 2002
BNY MELLON SECURITIES CORPORATION
May 5, 1995 - November 21, 1996
ROBERT W. BAIRD & CO. INCORPORATED
November 22, 1989 - May 19, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 1986 - April 7, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/8/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
Red Flags
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