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JB

John T. Biggs

FOCUS STRATEGIES MERCHANT BANKING
Austin, TX 78731
Some features on this profile are disabled
CRD#: 4434473
JB

Professional summary

John Thomas Biggs is a registered financial professional currently at FOCUS STRATEGIES MERCHANT BANKING, LLC located in Austin, Texas.

John is registered as a RR (Registered Representative) and started their career in finance in 2001. John has worked at 2 firms and has passed the Series 63, SIE, Series 79, Series 62 and Series 7 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) - BD

Click below to view John Thomas Biggs'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®
None

Experience

Current

January 8, 2016 - Present

FOCUS STRATEGIES MERCHANT BANKING, LLC

Office #1: 7600 N Capital Of Texas Highway Building B, Suite 345, Austin, TX 78731
BD
CRD#: 172021
Austin, TX
Past

September 13, 2001 - February 14, 2003

DELOITTE CORPORATE FINANCE LLC

BD
CRD#: 111747
CHICAGO, IL

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
Texas
(1/8/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 5/4/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 1/8/2016
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FOCUS STRATEGIES MERCHANT BANKING, LLC
FOCUS STRATEGIES MERCHANT BANKING, LLC

CRD#: 172021 / SEC#: , 8-69495

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
7600 N Capital Of Texas Highway Building B, Suite 345, Austin, TX 78731
Mailing Address
7600 N Capital Of Texas Highway Building B, Suite 345, Austin, TX 78731
Phone number
(512) 477-3280
Established
Texas since 01/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FOCUS STRATEGIES PARTNERS, LLCOWNER
HELLER, JEFFREY PHILIPFINOP, PFO, POO3139370
SANDLIN, JAMES OLIVERCHIEF COMPLIANCE OFFICER4428785
VALDEZ, FRANK GARYPRESIDENT4998611

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

FOCUS STRATEGIES MERCHANT BANKING, LLC

CRD#: 172021Austin, TX 78731

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