Thomas C. 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.
Thomas Carroll Higgins was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 14 firms and has passed the Series 65, Series 63, 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
January 28, 2021 - December 31, 2022
IAMS WEALTH MANAGEMENT, LLC
August 25, 2017 - January 4, 2021
BOLLIN WEALTH MANAGEMENT, LLC
September 12, 2014 - December 31, 2014
STONEX SECURITIES INC.
March 10, 2009 - September 12, 2014
WRP INVESTMENTS, INC.
March 8, 2007 - December 24, 2008
EPLANNING SECURITIES, INC.
June 20, 2003 - March 22, 2007
KESTRA INVESTMENT SERVICES, LLC
April 10, 2003 - July 9, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 21, 2003 - July 21, 2017
MPM WEALTH ADVISORS
June 6, 2002 - April 8, 2003
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
October 17, 1995 - January 15, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 1995 - July 10, 1995
KEY INVESTMENTS INC.
June 9, 1993 - March 3, 1995
SOCIETY INVESTMENTS, INC.
April 12, 1990 - May 28, 1993
UBS FINANCIAL SERVICES INC.
September 24, 1987 - April 30, 1990
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
IAMS WEALTH MANAGEMENT, LLC
CRD#: 286085 / SEC#: 801-108875
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
Current Firm
IAMS WEALTH MANAGEMENT, LLC
CRD#: 286085 / SEC#: 801-108875
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,104 |
| AUM (Assets Under Management) | $ 343,012,390 |
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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