linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Richard Emmett Higgins

Maxim Group LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Richard? Claim Your Profile

About Richard Emmett Higgins

Richard Emmett Higgins is a financial advisor with Maxim Group LLC, a firm with a focus on securities trading and investment services. Richard is a registered representative with a focus on equity trading. Richard is a veteran of the industry, having joined the securities industry on March 6, 1999. Richard has a diverse range of experience, having held positions at several prominent firms, including Morgan Stanley and Smith Barney. His background in equity trading and experience across multiple firms provides a solid foundation for his current role at Maxim Group LLC.

Firm Information

Richard Higgins is currently registered with Maxim Group LLC. Maxim Group LLC is a Limited Liability Company formed in April 2002 and is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been approved for one SEC registration and 53 state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

70

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Richard Higgins’s Registration & Firm History

NY

01/03/2012 - Present

Maxim Group LLC (NEW YORK NY)

NY

06/01/2009 - 12/21/2011

MORGAN STANLEY SMITH BARNEY (PURCHASE NY)

NY

04/02/2007 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)

NY

02/23/1999 - 04/02/2007

MORGAN STANLEY DW INC. (PURCHASE NY)

Not sure if Richard Emmett Higgins is right for you?

Licenses & Designations

BC

Issued 12/03/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/28/2010

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/2001

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 02/22/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE Arca, Inc.

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Richard Emmett Higgins.
Not sure if Richard Emmett Higgins is right for you?