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Charles John Higgins

Piper Sandler & Co.

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About Charles John Higgins

Charles John Higgins is a financial advisor with over 29 years of experience in the industry. Charles is currently registered with Piper Sandler & Co. and is licensed in 11 states. Prior to Piper Sandler & Co., Charles was with Barclays Capital Inc., Lehman Brothers Inc., Advest, Inc., Eверен Securities, Inc. and Dean Witter Reynolds Inc. Charles's credentials include the Series 3, 7 and 63 licenses, as well as the SIE exam.

Firm Information

Charles Higgins is currently registered with Piper Sandler & Co.. Piper Sandler & Co. is a corporation headquartered in Minneapolis, Minnesota, that was formed on July 28, 1969. The firm provides analytical reports and public finance consulting program services, and manages portfolios for businesses. The firm has a total of 1,359 registered representatives and 24 investment adviser representatives, and manages approximately $1 billion to $10 billion in assets.
Piper Sandler & Co.

800 NICOLLET MALL

MINNEAPOLIS, MN 55402-7020

$1.58B

Assets Under Management

21

Total Clients

809

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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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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analytical reports/public finance consulting program

Analytical reports/public finance consulting program

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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commissions

Earned based on transactions or products sold.

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percentage of assets

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

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Charles Higgins’s Registration & Firm History

MA

07/02/2019 - Present

Piper Sandler & Co. (Boston MA)

MA

09/22/2008 - 07/16/2019

BARCLAYS CAPITAL INC. (BOSTON MA)

MA

05/15/1998 - 09/22/2008

LEHMAN BROTHERS INC. (BOSTON MA)

CT

10/11/1996 - 04/21/1998

ADVEST, INC. (HARTFORD CT)

MO

11/01/1993 - 10/03/1996

EVEREN SECURITIES, INC. (ST. LOUIS MO)

NY

06/12/1993 - 10/08/1993

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

NY

08/31/1992 - 01/19/1993

GRUNTAL & CO. INCORPORATED (NEW YORK NY)

NY

07/23/1992 - 08/25/1992

ROBERT TODD FINANCIAL CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/04/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/27/2000

Series 3 - National Commodity Futures Examination

BC

Issued 07/22/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Charles John Higgins.
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