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TH

Todd Higgins

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CRD#: 2509000
TH

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.

Todd Higgins, who also goes by Todd B Higgins, was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 1996. Todd had worked at 11 firms and has passed the Series 63, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Todd B 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 11, 2011 - October 24, 2013

AGILE PT GROUP LLC

BD
CRD#: 155177
NEW YORK, NY
Past

August 29, 2011 - March 17, 2014

DRIVEWEALTH INSTITUTIONAL LLC

BD
CRD#: 33038
NEW YORK, NY
Past

April 19, 2011 - May 31, 2011

DIMENSION TRADING GROUP, LLC

BD
CRD#: 147929
NEW YORK, NY
Past

June 30, 2009 - May 20, 2010

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
HOBOKEN, NJ
Past

January 7, 2009 - June 25, 2009

QUAD CAPITAL, LLC

BD
CRD#: 148927
NEW YORK, NY
Past

November 28, 2007 - December 31, 2008

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

May 22, 2007 - October 31, 2007

SOLEIL SECURITIES CORPORATION

BD
CRD#: 124737
NEW YORK, NY
Past

June 7, 2006 - December 19, 2006

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

April 15, 2003 - May 24, 2006

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

October 10, 2000 - May 2, 2003

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

January 31, 1996 - October 10, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/18/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 11/16/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/30/1996
General Securities Representative Examination

Current Firm

AP
AGILE PT GROUP LLC
AGILE PT GROUP LLC | TRINITY PRO TRADING, LLC | AGLIE PT GROUP LLC

CRD#: 155177 / SEC#: , 8-68702

BD
Terminated by SEC on 12/23/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/28/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AGML LLCMEMBER
BARRA, ROGER JOHNCCO1703322
HAGAN, LEONARD ALLANFINOP2582328

Disclosures

Regulatory Event2

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.

Company Information

AGILE PT GROUP LLC

CRD#: 155177

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