John D. 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.
John Debree Higgins, who also goes by John De Bre Higgins, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 6 firms and has passed the Series 63, Series 53, Series 27 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 29, 1999 - October 9, 2001
HAPOALIM SECURITIES USA, INC.
January 30, 1991 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
June 22, 1987 - June 29, 1990
LOMBARD SECURITIES CORP.
December 2, 1983 - December 4, 1986
V.V.I. SECURITIES CO.,INC.
July 17, 1975 - August 1, 1979
SHERMAN, FITZPATRICK & CO., INC.
July 7, 1969 - March 13, 1975
BROOKVILLE EQUITY ASSOCIATES 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 00
Date: 6/23/1969
General Securities Principal ExaminationCurrent Firm
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
