Shane M. Higgins

DAVID VAUGHAN INVESTMENTS

Winter Garden, FL

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CRD#: 5994182

Professional summary

Shane Michael Higgins, CFP®, who also goes by Shane M Higgins, Shane Higgins, is a registered financial advisor currently at DAVID VAUGHAN INVESTMENTS, LLC located in Winter Garden, Florida.

Shane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Shane has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shane M Higgins | Shane 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 Shane Michael 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

Experience

Current

September 4, 2024 - Present

DAVID VAUGHAN INVESTMENTS, LLC

RIA

CRD#: 105990

Winter Garden, FL

Past

February 1, 2018 - August 6, 2024

SCHWAB WEALTH ADVISORY, INC.

RIA

CRD#: 159035

Orlando, FL

Past

January 26, 2018 - August 6, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Orlando, FL

Past

September 28, 2016 - January 11, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Altamonte Springs, FL

Past

September 23, 2016 - January 11, 2018

TD AMERITRADE, INC.

RIA

CRD#: 7870

ALTAMONTE SPRINGS, FL

Past

September 21, 2016 - January 11, 2018

TD AMERITRADE, INC.

CRD#: 7870

ALTAMONTE SPRINGS, FL

Past

March 18, 2014 - September 19, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

APOPKA, FL

Past

March 11, 2014 - September 19, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

APOPKA, FL

Past

February 26, 2013 - March 5, 2014

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ORLANDO, FL

Past

October 25, 2012 - March 5, 2014

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ORLANDO, 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".

DAVID VAUGHAN INVESTMENTS, LLC

DAVID VAUGHAN INVESTMENTS INC | DAVID VAUGHAN INVESTMENTS, LLC

CRD#: 105990 / SEC#: 801-12642

RIA

Registered Investment Advisory firm - (3/17/1977 Approved)

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
(9/23/2024)

IAR

Illinois
(9/4/2024)

IAR

Texas
(11/21/2024)

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 66

Date: 2/23/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/2012

General Securities Representative Examination

Current Firm

DAVID VAUGHAN INVESTMENTS, LLC

DAVID VAUGHAN INVESTMENTS INC | DAVID VAUGHAN INVESTMENTS, LLC

CRD#: 105990 / SEC#: 801-12642

RIA

Registered Investment Advisory firm - (3/17/1977 Approved)

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Contact information

Main Address

5823 N Forest Park Drive, Peoria, IL 61614-3559

Mailing Address

Phone number

(309) 685-0033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DVI FORM ADV PART 2A BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	4,020
AUM (Assets Under Management)	$ 4,930,082,357

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/22/2025	Cover Page	Report
11/20/2023	Cover Page	Report
01/03/2023	Cover Page	Report

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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Firm Stability Insights

Shane M. Higgins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shane Michael Higgins's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

DAVID VAUGHAN INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2013

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2012

Current Firm

DAVID VAUGHAN INVESTMENTS, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DAVID VAUGHAN INVESTMENTS, LLC

TRUST BUT VERIFY

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