Robert 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.
Robert Kevin Higgins, who also goes by R. Kevin Higgins, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1998. Robert had worked at 10 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2020 - May 14, 2020
PNC WEALTH MANAGEMENT LLC
February 24, 2020 - May 14, 2020
PNC WEALTH MANAGEMENT LLC
November 18, 2003 - November 9, 2018
LPL FINANCIAL LLC
November 18, 2003 - November 9, 2018
LPL FINANCIAL LLC
September 4, 2002 - November 18, 2003
MORGAN STANLEY DW INC.
September 4, 2002 - November 18, 2003
MORGAN STANLEY DW INC.
April 12, 2001 - September 4, 2002
STIFEL INDEPENDENT ADVISORS, LLC
April 12, 2001 - September 4, 2002
STIFEL INDEPENDENT ADVISORS, LLC
January 29, 2001 - April 11, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 12, 2000 - October 6, 2000
NATCITY INVESTMENTS, INC.
July 12, 2000 - October 6, 2000
NATCITY INSURANCE SERVICES, INC.
October 1, 1999 - June 13, 2000
BANC ONE SECURITIES CORPORATION
September 30, 1998 - June 3, 1999
MORGAN KEEGAN & COMPANY, LLC
July 31, 1998 - September 10, 1998
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
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
PNC WEALTH MANAGEMENT LLC
CRD#: 129052 / SEC#: 801-66195, 8-66195
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK, NATIONAL ASSOCIATION | PARENT | |
| BARNHART, TODD MARTIN | BOARD OF MANAGERS | 6166298 |
| FLYNN, SEAN | CHIEF COMPLIANCE OFFICER & BOARD OF MANAGERS | 2790159 |
| GUERRINI, RICHARD ROBERT | PRESIDENT, CEO, BOARD OF MANAGERS | 1990015 |
| HOLODINSKI, JOHN PAUL | BOARD OF MANAGERS | 2494707 |
| MITCHELL, JESSICA | BOARD OF MANAGERS | 6624246 |
| RAMOS, REGIS RESENDE | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 5205169 |
| RICHARDSON, MARGARET MARY | CHIEF OPERATING OFFICER/BOARD OF MANAGERS | 6002933 |
| RODGERS, STEPHANIE ELIZABETH | BOARD OF MANAGERS & SECRETARY | 6004741 |
| SANTILLO, ROBERT WILSON | BOARD OF MANAGERS | 5379581 |
| SCHAFER, DAVID JOSEPH | CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 1368781 |
| THOMPSON, LEIGH CHASE | CHIEF LEGAL OFFICER | 6534162 |
| WEIDNER, KIMBERLY LYNN | CHIEF RISK OFFICER & BOARD OF MANAGERS | 4080314 |
Regulatory assets under management
| Total Number of Accounts | 157,533 |
| AUM (Assets Under Management) | $ 26,533,775,810 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 6 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 09/20/2023 |
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.
