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RH

Richard M. Higgins

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CRD#: 4450943
RH

Professional summary

Richard Melvin Higgins was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Richard is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Richard had worked at 2 firms, which includes SECURITIES SERVICE NETWORK LLC, EDWARD JONES.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick 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.

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

October 20, 2004 - June 29, 2007

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
BOW, NH
Past

November 7, 2001 - October 21, 2004

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO

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
IAR
Series 65
Date: 3/12/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/9/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/6/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/20/2001
General Securities Principal Examination

Current Firm

SS
SECURITIES SERVICE NETWORK, LLC
SECURITIES SERVICE NETWORK, INC. | SOUTHERN FINANCIAL CONSULTANTS, INC. | SOUTHEASTERN FINANCIAL CONSULTANTS, INC. | SECURITIES SERVICE NETWORK, LLC

CRD#: 13318 / SEC#: , 8-28980

BD
Terminated by SEC on 11/29/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Tennessee since 02/01/1983
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ADVISOR GROUP HOLDINGS, INC.SHARE HOLDER
BLANCATO, PHILIP SALVATOREDIRECTOR2122221
GIOVANNIELLO, JOSEPH JRDIRECTOR3086071
GODBEE, CRYSTAL LEEVICE PRESIDENT OF OPERATIONS5629010
KLIMAS, RONALD THOMASEXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER2321602
MAAS, JONATHAN ELMERVICE PRESIDENT, TRADING2793069
MCKENNA, NINASECRETARY6302448
PATEL, JAYAPRAKASH MOHANBHAISENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER2973297
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, DIRECTOR2627931
WILKINSON, WADE SHANNONPRESIDENT AND CEO2312703

Disclosures

Regulatory Event7
Arbitration5
Bond1

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

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

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