Derek A. 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.
Derek Andrew Higgins was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 1996. Derek had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2012 - September 30, 2024
MASON SECURITIES, INC.
October 3, 2011 - September 30, 2024
MASON INVESTMENT ADVISORY SERVICES INC
November 7, 2007 - September 11, 2008
CITIGROUP GLOBAL MARKETS INC.
November 7, 2007 - September 11, 2008
CITIGROUP GLOBAL MARKETS INC.
June 15, 2004 - January 30, 2007
THOMAS WEISEL PARTNERS LLC
June 15, 2004 - January 30, 2007
THOMAS WEISEL PARTNERS LLC
November 25, 2002 - December 31, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 22, 2001 - December 31, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 6, 2000 - September 21, 2000
WELLS FARGO SECURITIES INC.
December 4, 1996 - April 3, 1998
MERCER ALLIED COMPANY, L.P.
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
MASON SECURITIES, INC.
CRD#: 12967 / SEC#: , 8-28378
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASON INTERNATIONAL, INC. | SHAREHOLDER | |
| DELANEY, JOHN MURPHY | CHIEF COMPLIANCE OFFICER | 6877307 |
| GEORGE, SCOTT STANLEY | PRESIDENT, TREASURER AND DIRECTOR | 1399567 |
| MASON, WILLIAM NOYES III | DIRECTOR, VICE-PRESIDENT, AND CHAIRMAN OF THE BOARD | 322341 |
| SCHREINER, CHRISTOPHER LEE | CHIEF OPERATING OFFICER | 3154419 |
Disclosures
| Regulatory Event | 2 |
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.
