TH
Thomas P. Higgins
ADVISORS ASSET MANAGEMENT
Dublin, OH
Some features on this profile are disabled
CRD#: 5939299
TH
Professional summary
Thomas P Higgins, who also goes by Thomas P Higgins, Thomas Patrick Higgins, is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Dublin, Ohio.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas P Higgins | Thomas Patrick 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.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas P Higgins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas P Higgins's 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®
NoneExperience
Current
October 19, 2020 - Present
ADVISORS ASSET MANAGEMENT, INC.
RIA
BD
CRD#: 46727
Dublin, OH
Current
October 19, 2020 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 1499 W. Palmetto Park Road Suite 401, Boca Raton, FL 33486RIA
BD
CRD#: 46727
Boca Raton, FL
Past
March 22, 2018 - October 23, 2020
HENNION & WALSH ASSET MANAGEMENT, INC.
RIA
CRD#: 126236
PARSIPPANY, NJ
Past
January 23, 2018 - October 23, 2020
HENNION & WALSH, INC.
BD
CRD#: 25766
PARSIPPANY, NJ
Past
June 23, 2017 - January 12, 2018
GUGGENHEIM INVESTMENTS
RIA
CRD#: 105477
CHICAGO, IL
Past
June 23, 2017 - January 12, 2018
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
BD
CRD#: 39805
CHICAGO, IL
Past
May 3, 2016 - June 19, 2017
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
Chicago, IL
Past
May 2, 2016 - June 19, 2017
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
August 25, 2014 - May 4, 2016
INCAPITAL DISTRIBUTORS LLC
BD
CRD#: 156622
BOCA RATON, FL
Past
August 8, 2014 - May 4, 2016
INSPEREX LLC
BD
CRD#: 101420
BOCA RATON, FL
Past
November 21, 2013 - July 7, 2014
MORGAN STANLEY
RIA
CRD#: 149777
BOCA RATON, FL
Past
August 13, 2013 - July 7, 2014
MORGAN STANLEY
BD
CRD#: 149777
BOCA RATON, FL
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".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
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
RR
Illinois(9/22/2022)
RR
Indiana(9/22/2022)
RR
Kentucky(9/22/2022)
RR
Michigan(9/22/2022)
RR
Ohio(10/19/2020)
IAR
Ohio(10/19/2020)
RR
Texas(1/22/2024)
RR
Utah(1/22/2024)
RR
West Virginia(9/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
