Sean D. O'higgins

OHIGGINS ASSET MANAGEMENT

North Loudonville, NY

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CRD#: 4712728

Professional summary

Sean Dewey O'higgins, CFP®, who also goes by Sean Dewey Ohiggins, is a registered financial advisor currently at OHIGGINS ASSET MANAGEMENT INC located in North Loudonville, New York.

Sean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Sean has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Always Fiduciary

Aliases

Sean Dewey Ohiggins

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) - RIA

Click below to view Sean Dewey O'higgins's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

March 21, 2018 - Present

OHIGGINS ASSET MANAGEMENT INC

RIA

CRD#: 107194

North Loudonville, NY

Past

January 15, 2015 - November 16, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

ALBANY, NY

Past

November 8, 2011 - June 20, 2013

C. L. KING & ASSOCIATES, INC.

CRD#: 6183

ALBANY, NY

Past

July 29, 2010 - November 7, 2011

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

CLIFTON PARK, NY

Past

March 11, 2010 - November 7, 2011

EQUITABLE ADVISORS, LLC

CRD#: 6627

CLIFTON PARK, NY

Past

April 19, 2006 - March 3, 2010

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

LOUDONVILLE, NY

Past

March 2, 2004 - October 4, 2005

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OHIGGINS ASSET MANAGEMENT INC

CRD#: 107194 / SEC#: 801-119691

RIA

Registered Investment Advisory firm - (10/26/2020 Approved)

Florida

Registered Investment Advisory firm - (11/19/2020 Terminated)

New York

Registered Investment Advisory firm - (11/19/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(3/21/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/24/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/13/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/16/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/3/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/1/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

OHIGGINS ASSET MANAGEMENT INC

CRD#: 107194 / SEC#: 801-119691

RIA

Registered Investment Advisory firm - (10/26/2020 Approved)

Florida

Registered Investment Advisory firm - (11/19/2020 Terminated)

New York

Registered Investment Advisory firm - (11/19/2020 Terminated)

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Contact information

Main Address

Miami Beach, FL

Mailing Address

Phone number

(305) 861-1883

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OHIGGINS ASSET MANAGEMENT BROCHURE 2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	75
AUM (Assets Under Management)	$ 152,318,948

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.

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Advisor Monitoring

Firm Stability Insights

Sean D. O'higgins

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sean Dewey O'higgins's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

C. L. KING & ASSOCIATES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

OHIGGINS ASSET MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/2015

Series 63

Date: 5/13/2004

SIE

Date: 11/16/2017

Series 7

Date: 5/3/2005

Series 6

Date: 3/1/2004

Current Firm

OHIGGINS ASSET MANAGEMENT INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OHIGGINS ASSET MANAGEMENT INC

TRUST BUT VERIFY

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