Jay F. 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.
Jay Francis Higgins was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1971. Jay had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 000, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 1998 - November 24, 2015
MANORHAVEN CAPITAL LLC
November 29, 1993 - August 8, 1994
PRINTON, KANE GROUP, INC.
January 25, 1971 - January 28, 1992
SALOMON BROTHERS 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
Series 000
Date: 1/25/1971
General Securities Principal ExaminationSeries 1
Date: 1/25/1971
Registered Representative ExaminationSeries 40
Date: 11/15/1976
Registered Principal ExaminationCurrent Firm
MANORHAVEN CAPITAL LLC
CRD#: 44965 / SEC#: , 8-50911
Contact information
FINRA licenses (9 States and Territories)
Documents
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.
