William 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.
William Joseph Higgins JR, who also goes by William Joseph Higgins, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 8 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2020 - December 23, 2021
SPOUTING ROCK CAPITAL ADVISORS, LLC
February 28, 2018 - February 10, 2020
RESOLUTE INVESTMENT DISTRIBUTORS, INC.
September 16, 2015 - March 1, 2018
FORESIDE FUND SERVICES, LLC
February 16, 2006 - February 27, 2015
NYLIFE DISTRIBUTORS LLC
June 18, 2004 - February 9, 2006
CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.
January 20, 2000 - June 15, 2004
OLD MUTUAL INVESTMENT PARTNERS
August 4, 1989 - September 10, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 4, 1989 - September 10, 1990
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/18/2024
General Securities Representative ExaminationSeries 6TO
Date: 3/18/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SPOUTING ROCK CAPITAL ADVISORS, LLC
CRD#: 143180 / SEC#: , 8-67539
Contact information
Documents
Red Flags
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