David 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.
David A Higgins, who also goes by Anthony Higgins, David Anthony Higgins, David J Higgins, David Joseph Higgins, Tony Higgins, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1993. David had worked at 10 firms and has passed the Series 66, 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
May 3, 2013 - August 18, 2015
TRIUMPH WEALTH ADVISORS, INC.
February 25, 2013 - August 18, 2015
TAYLOR CAPITAL MANAGEMENT INC.
March 9, 2010 - May 4, 2011
SUMMIT FINANCIAL GROUP INC
March 4, 2010 - May 4, 2011
SUMMIT BROKERAGE SERVICES, INC.
November 14, 2005 - August 3, 2009
MSI FINANCIAL SERVICES, INC.
December 16, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 16, 2003 - August 3, 2009
MSI FINANCIAL SERVICES, INC.
May 3, 1999 - December 15, 2003
PARK AVENUE SECURITIES LLC
April 20, 1999 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
March 10, 1994 - April 28, 1999
HORNOR, TOWNSEND & KENT, LLC
August 25, 1993 - December 10, 1993
H.J. MEYERS & CO., 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
TRIUMPH WEALTH ADVISORS, INC.
CRD#: 153175 / SEC#: 801-79603
Contact information
Regulatory assets under management
| Total Number of Accounts | 252 |
| AUM (Assets Under Management) | $ 30,337,210 |
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.
