Edward J. Higgins
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.
Edward Joseph Higgins III, who also goes by Edward Joseph Higgins, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1987. Edward had worked at 3 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 1990 - November 18, 2002
HIGH POINT CAPITAL GROUP, INC.
July 13, 1988 - February 8, 1989
ALLIED CAPITAL GROUP, INC.
April 29, 1987 - July 22, 1988
MORGAN GLADSTONE & CO. INC.
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 55
Date: 4/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
HIGH POINT CAPITAL GROUP, INC.
CRD#: 25667 / SEC#: , 8-42040
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ANDERSEN, ROBERT ELWOOD JR | PRESIDENT, SECRETARY, TREASURER, CCO & FINOP | 2010590 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
