Steven G. Higgins

HIGGINS & SCHMIDT WEALTH STRATEGIES

DENVER, CO 80202

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CRD#: 4785771

Professional summary

Steven Grant Higgins, who also goes by Steve Grant Higgins, is a registered financial advisor currently at HIGGINS & SCHMIDT WEALTH STRATEGIES LLC located in Denver, Colorado and LPL FINANCIAL LLC located in Denver, Colorado.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Steven has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.

Aliases

Steve Grant 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) - RIA

Click below to view Steven Grant 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®

None

Experience

Current

June 1, 2017 - Present

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

Office #1: 1934 Market Street, Denver, CO 80202

RIA

CRD#: 286063

DENVER, CO

Current

May 26, 2017 - Present

LPL FINANCIAL LLC

Office #1: 1934 Market Street,, Denver, CO 80202

RIA

CRD#: 6413

DENVER, CO

Past

November 4, 2025 - July 10, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

BROOMFIELD, CO

Past

April 10, 2014 - May 30, 2017

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

BROOMFIELD, CO

Past

August 31, 2010 - May 30, 2017

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

BROOMFIELD, CO

Past

February 2, 2006 - September 1, 2010

EDWARD JONES

CRD#: 250

BOULDER, CO

Past

July 22, 2005 - January 30, 2006

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

BLOOMINGTON, IL

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".

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

HD WEALTH STRATEGIES, LLC | HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

CRD#: 286063 / SEC#: 801-119622

RIA

Registered Investment Advisory firm - (10/9/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/30/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/19/2020 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.

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

California
(5/26/2017)

Colorado
(5/26/2017)

IAR

Colorado
(6/1/2017)

Connecticut
(5/26/2017)

Florida
(8/21/2017)

Illinois
(6/1/2017)

Indiana
(5/26/2017)

Maryland
(5/26/2017)

Michigan
(9/17/2020)

Minnesota
(6/11/2017)

New York
(5/26/2017)

North Carolina
(5/26/2017)

Texas
(4/25/2019)

IAR

Texas
(5/9/2019)

West Virginia
(5/26/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/4/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/21/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/21/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 3/25/2011

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/25/2011

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

HD WEALTH STRATEGIES, LLC | HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

CRD#: 286063 / SEC#: 801-119622

RIA

Registered Investment Advisory firm - (10/9/2020 Approved)

Colorado

Registered Investment Advisory firm - (10/30/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/19/2020 Terminated)

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Contact information

Main Address

1934 Market Street, Denver, CO 80202

Mailing Address

Phone number

(720) 287-0918

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A HIGGINS SCHMIDT WEALTH STRATEGIES LLC (1/2/2026)

WRAP BROCHURE - HD WEALTH STRATEGIES, LLC (1/2/2026)

Regulatory assets under management

Total Number of Accounts	782
AUM (Assets Under Management)	$ 215,146,264

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Steven G. Higgins

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Grant Higgins's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

COUNTRY CAPITAL MANAGEMENT COMPANY

Primary Firm SEC Registration

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/2014

Series 63

Date: 7/21/2005

SIE

Date: 10/1/2018

Series 7

Date: 2/16/2006

Series 6

Date: 7/21/2005

Series 9

Date: 3/25/2011

Series 10

Date: 1/25/2011

FINRA

Current Firm

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HIGGINS & SCHMIDT WEALTH STRATEGIES LLC

TRUST BUT VERIFY

Contact information

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