Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Ohiggins is a financial advisor with Pickwick Capital Partners, LLC. James has been in the financial services industry since 1984. Prior to joining Pickwick Capital Partners, LLC, James worked at ICBC Standard Securities Inc., Barclay Investments, Inc., Morgan Keegan & Company, Inc., Banc of America Securities LLC, PaineWebber Incorporated, Ormes Capital Markets, Inc., First Albany Corporation, Kidder, Peabody & Co. Incorporated, UBS Securities Inc., Drexel Burnham Lambert Incorporated, and Paine, Webber, Jackson & Curtis Inc. James is registered with the Financial Industry Regulatory Authority (FINRA) and holds the following licenses: Series 3, Series 7, Series 24, Series 63, and SIE. James is also registered as a financial advisor in California, Connecticut, Florida, Massachusetts, New Jersey, and New York.
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.
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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2
NY
05/28/2020 - Present
Pickwick Capital Partners, LLC (WHITE PLAINS NY)
NY
05/24/2007 - 12/02/2019
ICBC STANDARD SECURITIES INC. (NEW YORK NY)
NY
09/09/2004 - 05/23/2007
BARCLAY INVESTMENTS, INC. (NEW YORK NY)
TN
09/10/2003 - 08/20/2004
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NY
08/17/2000 - 07/22/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NJ
05/27/1997 - 09/11/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/02/1994 - 05/29/1997
ORMES CAPITAL MARKETS, INC. (NEW YORK NY)
NY
08/23/1990 - 04/26/1994
FIRST ALBANY CORPORATION (NEW YORK NY)
NY
10/03/1989 - 08/06/1990
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NY
08/08/1985 - 08/21/1989
UBS SECURITIES INC. (NEW YORK NY)
NA
10/03/1983 - 11/10/1988
DREXEL BURNHAM LAMBERT INCORPORATED
NA
06/22/1983 - 03/28/1984
PAINE, WEBBER, JACKSON & CURTIS INC.
BC
Issued 02/28/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/28/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1994
Series 3 - National Commodity Futures Examination
BC
Issued 06/18/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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