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SH

Sara R. Higgins

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CRD#: 4423973
SH

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.

Sara Rebecca Higgins was a registered financial professional .

Sara is a previously registered financial professional and started their career in finance in 2001. Sara had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 5, 2009 - March 18, 2016

SANDLER, O'NEILL & PARTNERS, L.P.

BD
CRD#: 23328
NEW YORK, NY
Past

September 22, 2008 - May 26, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

October 22, 2001 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/18/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/26/2011
General Securities Principal Examination

Current Firm

SO
SANDLER, O'NEILL & PARTNERS, L.P.
SANDLER, O'NEILL & PARTNERS, L.P.

CRD#: 23328 / SEC#: , 8-40214

BD
Terminated by SEC on 05/04/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/18/1988
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PIPER SANDLER COMPANIESPARENT
DELLAPIETRA, MAY FRANCESCFO, DIR AND TREASURER OF GENERAL PARTNER, PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER707188
HOOPER, CHRISTOPHER STEPHEN MR.VP AND DIR OF GENERAL PARTNER; GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER4828924

Disclosures

Regulatory Event8

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

SANDLER, O'NEILL & PARTNERS, L.P.

CRD#: 23328

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