TH
Timothy P. Higgins
BNY MELLON CAPITAL MARKETS
New York, NY 10286
Some features on this profile are disabled
CRD#: 3272850
TH
Professional summary
Timothy Patrick Higgins, who also goes by Tim Higgins, Timmy Higgins, Timothy Patrick Higgins Jr, Timothy Patrick Higgins Jr., Timothy Higgins, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in New York, New York and PERSHING LLC located in New York, New York.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1999. Timothy has worked at 7 firms and has passed the Series 66, Series 57TO, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tim Higgins | Timmy Higgins | Timothy Patrick Higgins Jr | Timothy Patrick Higgins Jr. | Timothy Higgins
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Timothy Patrick Higgins'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®
NoneExperience
Current
March 30, 2012 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 17454
New York, NY
Current
September 12, 2024 - Present
PERSHING LLC
Office #1: 240 Greenwich Street, New York, NY 10286BD
CRD#: 7560
New York, NY
Past
September 1, 2009 - April 3, 2012
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
October 12, 2006 - August 20, 2009
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
January 3, 2006 - August 16, 2006
SANDERS MORRIS LLC
BD
CRD#: 20580
NEW YORK, NY
Past
April 27, 2001 - January 17, 2006
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
September 5, 2000 - April 23, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 30, 1999 - July 6, 2000
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
RR
Alabama(1/7/2013)
RR
Alaska(1/7/2013)
RR
Arizona(1/7/2013)
RR
Arkansas(1/7/2013)
RR
California(1/7/2013)
RR
Colorado(1/7/2013)
RR
Connecticut(1/7/2013)
RR
Delaware(1/7/2013)
RR
District of Columbia(1/7/2013)
RR
Florida(1/7/2013)
RR
Georgia(1/7/2013)
RR
Hawaii(1/7/2013)
RR
Idaho(1/7/2013)
RR
Illinois(1/7/2013)
RR
Indiana(1/7/2013)
RR
Iowa(1/7/2013)
RR
Kansas(1/7/2013)
RR
Kentucky(1/7/2013)
RR
Louisiana(1/7/2013)
RR
Maine(1/7/2013)
RR
Maryland(1/7/2013)
RR
Massachusetts(1/7/2013)
RR
Michigan(1/7/2013)
RR
Minnesota(1/7/2013)
RR
Mississippi(1/7/2013)
RR
Missouri(1/7/2013)
RR
Montana(1/7/2013)
RR
Nebraska(1/7/2013)
RR
Nevada(1/7/2013)
RR
New Hampshire(1/7/2013)
RR
New Jersey(1/7/2013)
RR
New Mexico(1/7/2013)
RR
New York(3/30/2012)
RR
North Carolina(1/8/2013)
RR
North Dakota(1/7/2013)
RR
Ohio(1/7/2013)
RR
Oklahoma(1/7/2013)
RR
Oregon(1/7/2013)
RR
Pennsylvania(1/7/2013)
RR
Puerto Rico(1/7/2013)
RR
Rhode Island(1/7/2013)
RR
South Carolina(1/7/2013)
RR
South Dakota(1/7/2013)
RR
Tennessee(1/7/2013)
RR
Texas(1/7/2013)
RR
Utah(1/7/2013)
RR
Vermont(1/7/2013)
RR
Virginia(1/7/2013)
RR
Washington(1/7/2013)
RR
West Virginia(1/7/2013)
RR
Wisconsin(1/7/2013)
RR
Wyoming(1/7/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 11/12/2024
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 52TO
Date: 7/18/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
PL
PERSHING LLC
BNY PERSHING | PERSHING LLC | PERSHING | DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION | DONALDSON LUFKIN & JENRETTE SECURITIES CORPORATION
CRD#: 7560 / SEC#: , 8-17574
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza 10th Floor, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 01/17/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
