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Carolyn Duquen higgins

Osaic Institutions, Inc.

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About Carolyn Duquen higgins

Carolyn Duquen Higgins is a financial advisor with over 15 years of experience in the industry. Carolyn has a strong background in investments and has held licenses for a variety of products and services. Currently, Carolyn is registered with Osaic Institutions, Inc., a firm that provides financial planning and investment management services to individuals, corporations, and charitable organizations. Prior to joining Osaic Institutions, Inc., Carolyn worked with Essex National Securities, LLC. Carolyn holds the Series 6, Series 63, and SIE licenses, demonstrating her commitment to staying current with industry regulations and best practices.

Firm Information

Carolyn Duquen higgins is currently registered with Osaic Institutions, Inc.. Osaic Institutions, Inc. is a Corporation headquartered in MERIDEN, CT, United States. The firm was formed on 1993-04-07 and is registered with the SEC and in 53 states. Osaic Institutions, Inc. provides financial planning, pension consulting, educational seminars, and other advisory services to a wide range of clients, including individuals, corporations, charitable organizations, and high net worth individuals. The firm manages approximately $3,626,644,800 in assets and has over 1,700 licensed agents, investment adviser representatives, and registered representatives.
Osaic Institutions, Inc.

538 PRESTON AVENUE

MERIDEN, CT 06450-4858

$3.63B

Assets Under Management

25

Total Clients

641

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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solicitation services for other advisers

Solicitation services for other advisers

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carolyn Duquen higgins’s Registration & Firm History

NY

07/01/2016 - Present

Osaic Institutions, Inc. (SMITHTOWN NY)

NY

11/21/2007 - 07/01/2016

ESSEX NATIONAL SECURITIES, LLC (SMITHTOWN NY)

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Licenses & Designations

BC

Issued 11/19/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/20/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carolyn Duquen higgins.
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