Robert D. Higgins

DALTON FINANCIAL LLC

Charlotte, NC

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CRD#: 2500734

Professional summary

Robert Dalton Higgins, CFP®, who also goes by Bob Higgins, is a registered financial advisor currently at DALTON FINANCIAL LLC located in Charlotte, North Carolina.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Robert has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

What are your service offerings?

Retirement Income Management

Insurance Planning

Comprehensive Financial Planni...

Estate Planning

Investment Planning

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

Bob Higgins

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 09/06/2013 - RIA / DALTON FINANCIAL LLC AS PRINCIPAL.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Dalton Higgins's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2002

Experience

Current

August 26, 2014 - Present

DALTON FINANCIAL LLC

RIA

CRD#: 167878

Charlotte, NC

Past

May 4, 2015 - November 2, 2016

ALLEN C. EWING & CO.

CRD#: 26102

CHARLOTTE, NC

Past

May 5, 2014 - June 18, 2014

HAVEN CAPITAL

RIA

CRD#: 167334

ATLANTA, GA

Past

December 16, 2003 - September 17, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

December 16, 2003 - September 17, 2013

LPL FINANCIAL LLC

CRD#: 6413

CHARLOTTE, NC

Past

December 31, 2001 - November 22, 2002

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

CHARLOTTE, NC

Past

December 11, 2000 - December 18, 2003

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

July 15, 1994 - December 7, 2000

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

July 15, 1994 - December 7, 2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(8/26/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DALTON FINANCIAL LLC

DALTON FINANCIAL LLC | RDH WEALTH MANAGEMENT, LLC | HIGGINS, ROBERT DALTON

CRD#: 167878 / SEC#:

North Carolina

Registered Investment Advisory firm - (9/12/2013 Approved)

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Contact information

Main Address

Charlotte, NC

Mailing Address

Phone number

(704) 907-0315

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 29,976,571

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Robert D. Higgins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Dalton Higgins's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLEN C. EWING & CO.

HAVEN CAPITAL

LPL FINANCIAL LLC

LPL FINANCIAL LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/1999

Series 63

Date: 7/14/1994

SIE

Date: 11/2/2016

Series 7

Date: 10/23/2000

Series 6

Date: 7/14/1994

Current Firm

DALTON FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DALTON FINANCIAL LLC

TRUST BUT VERIFY

Contact information

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