Michael V. Higgins
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Victor Higgins was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2020 - September 9, 2020
VELOX CLEARING LLC
June 11, 2013 - March 12, 2019
LPL FINANCIAL LLC
September 24, 2012 - March 4, 2013
SODALITE FINANCIAL SERVICES, LLC
January 12, 2011 - June 17, 2013
HOLD BROTHERS CAPITAL LLC
May 28, 2009 - November 28, 2012
TAFFERER TRADING, LLC
August 12, 2008 - December 2, 2008
EQUITABLE ADVISORS, LLC
May 16, 2007 - February 19, 2008
EQUITABLE DISTRIBUTORS, LLC
September 13, 2004 - May 20, 2005
MONY SECURITIES CORPORATION
March 6, 2001 - December 2, 2008
EQUITABLE ADVISORS, LLC
September 21, 1999 - February 14, 2001
BNY INVESTMENT CENTER INC.
November 17, 1998 - October 20, 1999
COWEN EXECUTION SERVICES LLC
September 23, 1997 - June 18, 1998
PERSHING LLC
June 2, 1997 - September 22, 1997
HARRISDIRECT LLC
November 17, 1995 - June 2, 1997
PERSHING LLC
January 11, 1991 - August 21, 1995
CHARLES SCHWAB & CO., INC.
May 5, 1988 - October 11, 1990
FLEET BROKERAGE SECURITIES, INC.
March 27, 1986 - April 6, 1988
CITICORP FINANCIAL SERVICES,INC.
March 29, 1984 - August 22, 1985
WALL STREET ACCESS
February 23, 1983 - December 14, 1984
TIJA MANAGEMENT, INC.
August 10, 1982 - October 3, 1983
BNY MELLON SECURITIES CORPORATION
February 23, 1981 - November 5, 1981
AMSTER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/26/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VELOX CLEARING LLC
CRD#: 290215 / SEC#: , 8-70017
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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