John Thomas Biggs
Professional Summary
John Thomas Biggs is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
FOCUS STRATEGIES MERCHANT BANKING, LLC
Contact Information
Main Address
7600 N Capital Of Texas Highway Building B, Suite 345, Austin, TX 78731Mailing Address
7600 N Capital Of Texas Highway Building B, Suite 345, Austin, TX 78731Phone Number
(512) 477-3280Established
Texas since 01/01/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/8/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed May 2016About the Series 79 examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jan 2016SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view John Thomas Biggs's CRS (Customer Relationship Summary).
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