Mitchell K. 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.
Mitchell Keith Higgins, who also goes by Mitchell Kieth Higgins, was a registered financial professional .
Mitchell is a previously registered financial professional and started their career in finance in 1995. Mitchell had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2018 - April 5, 2024
CITI PRIVATE ALTERNATIVES, LLC
June 11, 2010 - April 5, 2024
CITIGROUP GLOBAL MARKETS INC.
June 11, 2010 - April 5, 2024
CITIGROUP GLOBAL MARKETS INC.
October 23, 2009 - April 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 22, 2009 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 5, 2006 - January 13, 2009
DEUTSCHE BANK SECURITIES INC.
December 1, 2005 - June 5, 2006
FRANKLIN DISTRIBUTORS, LLC
January 29, 1998 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
March 24, 1995 - April 30, 1997
UST FINANCIAL SERVICES CORP.
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
CITI PRIVATE ALTERNATIVES, LLC
CRD#: 153777 / SEC#: 801-71561, 8-69789
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP INVESTMENT PARTNERS | MEMBER | |
| CONWAY, JOHN JAMES | PRINCIPAL FINANCIAL OFFICER (FINOP) | 1584619 |
| DE ANDRADE, ROBERTO CARLOS | MANAGER | 5841299 |
| JEAN-BAPTISTE, ALEX | CHIEF COMPLIANCE OFFICER | 6828963 |
| ODONNELL, DANIEL GLENN | MANAGER | 3160132 |
| ODONNELL, NIALL | PRINCIPAL OPERATIONS OFFICER | 6830897 |
| REMAK, MICHAEL DAVID | CEO/MANAGER | 2914374 |
Regulatory assets under management
| Total Number of Accounts | 183 |
| AUM (Assets Under Management) | $ 18,347,749,864 |
Red Flags
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