James P. Higdon
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.
James Paul Higdon SR, who also goes by James Paul Higdon, Jim Higdon, Jum Higdon, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2007 - July 15, 2014
DALTON STRATEGIC INVESTMENT SERVICES INC.
January 2, 2001 - March 14, 2007
DALTON STRATEGIC INVESTMENT SERVICES INC.
June 15, 1998 - January 8, 2001
AVANTAX INVESTMENT SERVICES, INC.
February 20, 1997 - June 19, 1998
NATIONAL PLANNING CORPORATION
September 21, 1994 - December 11, 1996
AMERICAN GENERAL EQUITY SERVICES CORPORATION
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
DALTON STRATEGIC INVESTMENT SERVICES INC.
CRD#: 23485 / SEC#: , 8-40545
Contact information
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
