Christopher 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.
Christopher Andrew Higgins, who also goes by Chris Andrew Higgins, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1992. Christopher had worked at 7 firms and has passed the 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
April 27, 2009 - December 3, 2015
NATIONAL SECURITIES CORPORATION
February 17, 2006 - June 1, 2009
AEGIS CAPITAL CORP.
November 6, 2002 - February 21, 2006
OPPENHEIMER & CO. INC.
January 13, 1997 - March 20, 2001
PRIME CHARTER LTD.
June 18, 1996 - February 8, 1997
THE BOSTON GROUP
May 10, 1993 - June 19, 1996
GRUNTAL & CO., L.L.C.
September 11, 1992 - March 26, 1993
GRUNTAL & CO., L.L.C.
July 31, 1992 - September 3, 1992
GKN SECURITIES CORP.
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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
