Jeffrey T. Higgins
Professional summary
Jeffrey Thomas Higgins was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Jeffrey had worked at 2 firms, which includes WESTERN INTERNATIONAL SECURITIES INC., FINANCIAL WEST GROUP.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2017 - June 27, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
August 21, 2017 - June 27, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
July 30, 2001 - August 21, 2017
FINANCIAL WEST GROUP
April 11, 1997 - August 21, 2017
FINANCIAL WEST GROUP
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
