William A. 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 Andrew Higgins, who also goes by Andy Higgins, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 6 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2012 - August 3, 2012
QUESTAR CAPITAL CORPORATION
September 21, 2009 - January 18, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 25, 2009 - April 8, 2009
MADISON AVENUE SECURITIES, LLC
May 7, 2008 - March 25, 2009
MADISON AVENUE ADVISORS, INC.
April 1, 2008 - August 4, 2009
MADISON AVENUE SECURITIES, LLC
August 20, 2003 - April 7, 2008
NEW ENGLAND SECURITIES
June 18, 2003 - April 7, 2008
NEW ENGLAND SECURITIES
August 3, 2001 - July 3, 2003
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 26, 2000 - August 1, 2001
NYLIFE SECURITIES LLC
December 5, 1991 - February 11, 2000
MUTUAL OF OMAHA INVESTOR SERVICES, 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
Current Firm
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| 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.
