James E. Higginbotham
PARK AVENUE SECURITIES LLC
TAMPA, FL 33607
Some features on this profile are disabled
CRD#: 3272003
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 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Edward Higginbotham Iii | James Edward Higginbotham | Trip Edward Higginbotham Iii
Other business activities
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.
1) Executor of Estate-spouse, Start date: 01/01/2010, Address: 10118 Downey Lane, Tampa, FL 33626, 0 total hours per month, Not investment related, No annual compensation, 2) Westtown Church-Elder, Start date: 06/01/2021 Address: 13521 Race Track Rd, Tampa, FL 33626, 3 total hours per month; 0 during securities trading hours, Not investment related, No annual compensation, 3) CTL Tampa Holdings, LLC, Start date: 12/02/2024, Address: 4200 W Cypress St., Suite 700 Tampa, FL 33607, 0 total hours per month, Not investment related, No annual compensation, 4) CTL Tallahassee, LLC, Start date: 12/02/2024, Address: 1700 Summit Lake Drive, Suite 200 Tallahassee, FL 32317, 4 total hours per month; 0 during securities trading, Investment related, > than 10% annual compensation, 5) CLRT Tampa, LLC, Start date: 9/20/2024, Address: 4200 W Cypress St, Suite 700 Tampa, FL 33607, 0 total hours per month, Not Investment related, No annual compensation, 6) CTL Mobile LLC, Start date: 12/02/2024, Address: 1110 Montlimar Drive, Suite 420 Mobile, AL 36609, 4 total hours per month; 0 during securities trading, Investment related, >10% annual compensation, 7) Dhapps, LLC, Start Date: 6/17/2024, Address: 3584 Barbour Trail, Odessa, FL 33556, 0 total hours per month, Not Investment Related, No Annual Compensation, 8) CTL Tampa, LLC, Start Date: 11/21/2024, Address: 4200 W Cypress St Suite 700 Tampa, FL 33607 12 total hours per month; 12 during securities trading, Investment Related, 9) CTL Mobile Holdings, LLC, Start Date: 12/02/2024, Address: 1110 Montlimar Drive, Suite 420 Mobile, AL 36609, 0 total hours per month,, Not Investment Related, No Annual Compensation,
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2004
Experience
Current
November 1, 2010 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4200 W Cypress Street Suite 700, Tampa, FL 33607RIA
BD
CRD#: 46173
TAMPA, FL
Current
October 13, 2010 - Present
PARK AVENUE SECURITIES LLC
Office #1: 4200 W Cypress Street Suite 700, Tampa, FL 33607RIA
BD
CRD#: 46173
TAMPA, FL
Past
September 17, 1999 - August 3, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Alabama(4/10/2021)
RR
Alabama(12/21/2021)
RR
Alaska(8/25/2025)
RR
Arizona(1/10/2025)
RR
Arkansas(1/10/2025)
RR
California(1/10/2025)
RR
Colorado(1/10/2025)
RR
Connecticut(1/10/2025)
RR
Delaware(1/10/2025)
RR
District of Columbia(1/10/2025)
RR
Florida(8/6/2015)
IAR
Florida(8/7/2015)
RR
Georgia(11/5/2018)
IAR
Georgia(5/17/2021)
RR
Hawaii(1/10/2025)
RR
Idaho(1/10/2025)
RR
Illinois(8/10/2016)
RR
Indiana(1/10/2025)
RR
Iowa(1/10/2025)
RR
Kansas(8/20/2019)
RR
Kentucky(10/26/2010)
IAR
Kentucky(11/1/2010)
RR
Louisiana(1/10/2025)
RR
Maine(1/10/2025)
RR
Maryland(1/10/2025)
RR
Massachusetts(3/8/2017)
IAR
Massachusetts(4/7/2021)
RR
Michigan(4/10/2021)
IAR
Michigan(4/10/2021)
RR
Minnesota(1/6/2021)
IAR
Minnesota(1/6/2021)
RR
Mississippi(1/10/2025)
RR
Missouri(11/9/2020)
IAR
Missouri(11/9/2020)
RR
Montana(1/10/2025)
RR
Nebraska(1/14/2025)
RR
Nevada(8/21/2019)
IAR
Nevada(8/28/2019)
RR
New Hampshire(1/10/2025)
RR
New Jersey(6/10/2020)
IAR
New Jersey(6/15/2020)
RR
New Mexico(5/28/2025)
RR
New York(6/8/2021)
IAR
New York(6/8/2021)
RR
North Carolina(10/26/2010)
IAR
North Carolina(11/1/2010)
RR
North Dakota(1/10/2025)
RR
Ohio(8/7/2019)
IAR
Ohio(3/31/2021)
RR
Oklahoma(1/10/2025)
RR
Oregon(1/10/2025)
RR
Pennsylvania(3/5/2021)
IAR
Pennsylvania(3/5/2021)
RR
Puerto Rico(1/10/2025)
RR
Rhode Island(1/10/2025)
RR
South Carolina(4/4/2013)
IAR
South Carolina(4/8/2013)
RR
South Dakota(1/10/2025)
RR
Tennessee(1/10/2025)
RR
Texas(9/13/2018)
IAR
Texas(9/13/2018)
RR
Utah(1/10/2025)
RR
Vermont(1/10/2025)
RR
Virginia(3/31/2021)
IAR
Virginia(3/31/2021)
RR
Washington(9/4/2019)
IAR
Washington(9/4/2019)
RR
West Virginia(1/10/2025)
RR
Wisconsin(1/10/2025)
RR
Wyoming(1/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PARK AVENUE SECURITIES LLC
PARK AVENUE SECURITIES LLC
CRD#: 46173 / SEC#: 801-58108, 8-51324
RIA
Registered Investment Advisory firm - SEC (11/13/2000 Approved)District of Columbia
Registered Investment Advisory firm - SEC (1/2/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
10 Hudson Yards, New York, NY 10001
Mailing Address
10 Hudson Yards, New York, NY 10001
Phone number
+1 (888) 600-4667
Established
Delaware since 08/20/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,984
SEC notice filing (53 States and Territories)
FINRA licenses (53 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 |
| LESINA, LEYLA ADA | ELECTED MEMBER | 3004323 |
| MAHER, CARLY PRITCHARD | HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS | 4003223 |
| PERRY, MICHAEL ANDREW | ELECTED MEMBER | 2688179 |
| RYNIKER, MICHAEL JOHN | PRINCIPAL OPERATIONS OFFICER | 2474604 |
Regulatory assets under management
| Total Number of Accounts | 71,074 |
| AUM (Assets Under Management) | $ 14,998,852,974 |
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 01/22/2025 | ||
| 11/15/2023 |
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.
Company Information
PARK AVENUE SECURITIES LLC
CRD#: 46173Tampa, FL 33607TRUST BUT VERIFY
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