Michael T. Higgins
Professional summary
Michael Timothy Higgins was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Michael had worked at 6 firms, which includes RODMAN & RENSHAW INC., MONTGOMERY SECURITIES, DAKIN SECURITIES CORPORATION, PERSHING LLC, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 1996 - January 6, 1997
RODMAN & RENSHAW INC.
July 12, 1994 - December 19, 1994
MONTGOMERY SECURITIES
November 23, 1992 - June 21, 1994
DAKIN SECURITIES CORPORATION
July 12, 1990 - June 28, 1991
PERSHING LLC
May 19, 1989 - June 29, 1990
MONTGOMERY SECURITIES
February 15, 1988 - May 23, 1989
LEHMAN BROTHERS INC.
October 20, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Exams
Current Firm
RODMAN & RENSHAW INC.
CRD#: 724 / SEC#: , 8-15366
Contact information
Documents
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