Laura 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.
Laura Ann Higgins, who also goes by Laura A Higgins, Laura Higgins, Laura Willcox, was a registered financial professional .
Laura is a previously registered financial professional and started their career in finance in 1997. Laura had worked at 11 firms and has passed the Series 63, 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
July 12, 2013 - July 9, 2018
FIDELITY BROKERAGE SERVICES LLC
August 18, 2011 - May 14, 2013
OSAIC FA, INC.
December 10, 2010 - July 15, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 1, 2009 - August 14, 2009
MORGAN STANLEY
July 8, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 2, 2006 - December 31, 2006
BROOKSTREET SECURITIES CORPORATION
January 13, 2004 - July 1, 2005
BASIC INVESTORS INC.
January 3, 2003 - May 2, 2003
OPPENHEIMER & CO. INC.
February 7, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
April 12, 2000 - January 31, 2001
J.P. TURNER & COMPANY, L.L.C.
July 22, 1997 - May 9, 2000
INSTITUTIONAL EQUITY 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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
