Lawrence P. Higgins

APOLLO GLOBAL SECURITIES

New York, NY 10036

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CRD#: 1703296

Professional summary

Lawrence Patrick Higgins, who also goes by L Patrick Higgins III, L Patrick Higgins, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in New York, New York.

Lawrence is registered as a RR (Registered Representative) and started their career in finance in 1987. Lawrence has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

L Patrick Higgins Iii | L Patrick Higgins

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lawrence Patrick Higgins's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 9, 2023 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 151 W 42nd Street 5th Floor, New York, NY 10036

CRD#: 153502

New York, NY

Past

May 19, 2014 - February 14, 2023

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

November 1, 2010 - May 20, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 18, 2005 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

November 28, 1997 - March 11, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

April 18, 1994 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

August 16, 1989 - April 29, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 18, 1987 - August 7, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(2/9/2023)

Exams

State Security Law Exam

Series 63

Date: 9/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/4/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/22/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

9 West 57th Street, New York, NY 10019-2701

Mailing Address

9 West 57th Street, New York, NY 10019-2701

Phone number

(212) 515-3200

Established

Delaware since 03/11/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
APOLLO MANAGEMENT HOLDINGS, L.P.	MEMBER
CHATTERJEE, WHITNEY A	MEMBER BOARD OFMANAGERS	7874808
DRESCHER, STEPHANIE	HEAD OF MARKETING	3055145
LEVY, YAEL KENAN	CHIEF COMPLIANCE OFFICER	4435788
NEEDLEMAN, ERIC DAVID	PRESIDENT	2773431
TREBING, ADAM P	CFO / FINOP / PFO / POO	5828238
TREBING, ADAM P	MEMBER BOARD OF MANAGERS	5828238

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

Lawrence P. Higgins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lawrence Patrick Higgins's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREDIT SUISSE SECURITIES (USA) LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/1/1987

SIE

Date: 10/1/2018

Series 3

Date: 9/4/1987

Series 7

Date: 8/15/1987

Series 24

Date: 4/22/2002

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

APOLLO GLOBAL SECURITIES, LLC

TRUST BUT VERIFY

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