James E Higginbotham Iii
CFP®Professional Summary
James E Higginbotham III, CFP®, who also goes by James Edward Higginbotham III, James Edward Higginbotham, Trip Edward Higginbotham III, is a registered financial advisor currently at PARK AVENUE SECURITIES LLC located in Tampa, Florida. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 2 firms and has passed the Series 66, SIE, Series 7, Series 31 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Edward Higginbotham Iii, James Edward Higginbotham, Trip Edward Higginbotham Iii
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Videos & Posts
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Contact Information
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Disclosures on record.
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.
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Credentials
Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
PARK AVENUE SECURITIES LLC | PARK AVENUE WEALTH MANAGEMENT
Contact Information
Main Address
10 Hudson Yards, New York, NY 10001Mailing Address
10 Hudson Yards, New York, NY 10001Phone Number
+1 (888) 600-4667Established
Delaware since 08/20/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
2,073SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA | OWNER | — |
| BOGGS, ALLEN WARREN | HEAD OF PRODUCT & SUPERVISION | 4751363 |
| CASWELL, MARIANNE GRACE | PRESIDENT AND ELECTED MEMBER | 6424651 |
| DAVARASHVILI, KATE | FINOP/PRINCIPAL FINANCIAL OFFICER. | 5642325 |
| DESROCHERS, CARL | ELECTED MEMBER | 7807194 |
| GALLO, JOSEPH MICHAEL | CHIEF COMPLIANCE OFFICER | 3108044 |
| HERGAN, JOSHUA NEIL | GENERAL COUNSEL | 4572643 |
| MAHER, CARLY PRITCHARD | ELECTED MEMBER & HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
| VECCHI, MEG R | ELECTED MEMBER | 4769594 |
Regulatory Assets Under Management
Total Number of Accounts
82,118AUM (Assets Under Management)
$19,575,765,851Disclosures
Regulatory Event
20Arbitration
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | Cover Page | Report |
| 01/22/2025 | Cover Page | Report |
| 11/15/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
PARK AVENUE SECURITIES LLC | PARK AVENUE WEALTH MANAGEMENT
State Registrations and Notice Filings
(4/10/2021)
(12/21/2021)
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Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James E Higginbotham III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James E Higginbotham III's CRS (Customer Relationship Summary).
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