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Stephen L. Higgins

Some features on this profile are disabled
CRD#: 4592692
SH

Professional summary

Stephen Lloyd Higgins was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephen is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Stephen had worked at 1 firm, which includes CAPITAL MANAGEMENT SECURITIES INC..

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

November 8, 2002 - August 19, 2004

CAPITAL MANAGEMENT SECURITIES, INC.

BD
CRD#: 10579
MINNEAPOLIS, MN

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: 4/5/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/2002
General Securities Representative Examination

Current Firm

CM
CAPITAL MANAGEMENT SECURITIES, INC.
CAPITAL MANAGEMENT ASSOCIATES, INC. | RONIN ADVISORY | FIRST ADVISORS | CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579 / SEC#: , 8-27779

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

Main Address
7900 Xerxes Ave S. #500, Minneapolis, MN 55431-1120
Mailing Address
7900 Xerxes Avenue S #500, Minneapolis, MN 55431-1120
Phone number
(952) 893-1200
Established
Minnesota since 04/07/1975
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CMA FINANCIAL, INCOWNER
GLENNIE, MELISSA LEAHSROP, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, MSRB PRINCIPAL, CFO, COO, FINOP, PFO, POO2221936
LUING, THOMAS ALFREDPRESIDENT, PRINCIPAL1502743
STROH, GREGORY ALANCEO, PRINCIPAL, FINOP, MSRB PRINCIPAL, CHAIRMAN704342

Disclosures

Regulatory Event2

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

CAPITAL MANAGEMENT SECURITIES, INC.

CRD#: 10579

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