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James Joseph Higgins

Fmsbonds, Inc.

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About James Joseph Higgins

James Higgins is a financial professional with over 30 years of experience in the industry. James has been registered with Fmsbonds, Inc. since 2009, holding the Series 7, Series 3, Series 63 and SIE licenses. Prior to that, James was a registered representative at Morgan Stanley & Co. Incorporated, Belle Haven Investments, L.P., J.P. Morgan Securities Inc., Dillon, Read & Co. Inc., A. H. Williams & Co., Inc., and Kidder, Peabody & Co. Incorporated. James is currently active in the brokerage business.

Firm Information

James Higgins is currently registered with Fmsbonds, Inc.. Fmsbonds, Inc. is a Corporation that was formed on August 11, 1978. They are registered to provide investment services in 52 states and the District of Columbia, and have been approved for SEC registration. Fmsbonds, Inc. has been involved in 11 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

72

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.

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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James Higgins’s Registration & Firm History

FL

03/06/2009 - Present

Fmsbonds, Inc. (BOCA RATON FL)

NY

05/10/2004 - 03/11/2009

MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)

NY

05/10/1999 - 05/03/2004

BELLE HAVEN INVESTMENTS, L.P. (RYE BROOK NY)

NY

04/06/1994 - 02/02/1999

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

CT

04/03/1991 - 12/13/1993

DILLON, READ & CO. INC. (STAMFORD CT)

PA

08/31/1990 - 12/24/1990

A. H. WILLIAMS & CO., INC. (PHILADELPHIA PA)

NY

08/24/1983 - 06/08/1990

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/28/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/30/2004

Series 3 - National Commodity Futures Examination

BC

Issued 08/20/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Joseph Higgins.
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