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Thomas Joseph Higgins

A.g.p. / Alliance Global Partners

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About Thomas Joseph Higgins

Thomas Higgins is a financial professional with over 25 years of experience in the industry. Thomas has been a registered representative with Alliance Global Partners since February 2018, after a long career with several other firms, including AEGIS Capital Corp. and Maxim Group LLC. Thomas is a Series 7, 24, 27, 63 and SIE licensed professional. Thomas’s specializations include Portfolio Management for Individuals, Portfolio Management for Businesses, Portfolio Management for Pooled Investment Vehicles, and Investment Banking. Thomas holds active registrations in Massachusetts and New York.

Firm Information

Thomas Higgins is currently registered with A.g.p. / Alliance Global Partners. A.g.p. / Alliance Global Partners is a Limited Liability Company with a main office in Westport, Connecticut, and has been operating since July 2022. The firm has over 238 registered representatives and manages over $1.6 billion in regulatory assets. A.g.p. / Alliance Global Partners provides a variety of advisory services, including financial planning, portfolio management for individuals and businesses, selection of other advisors, and portfolio management for pooled investment vehicles. They cater to a diverse range of clients, including individuals, high-net-worth individuals, businesses, corporations, and charitable organizations.
A.g.p. / Alliance Global Partners

88 POST ROAD WEST

WESTPORT, CT 06880

$1.69B

Assets Under Management

Not reported

Total Clients

175

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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selection of other advisors

Helps you choose top advisors aligned with your 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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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

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

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other

Sub-adviser of pooled investment vehicle charges a performance f

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Thomas Higgins’s Registration & Firm History

NY

02/22/2018 - Present

A.g.p. / Alliance Global Partners (New York NY)

NY

10/08/2013 - 04/26/2018

AEGIS CAPITAL CORP. (NEW YORK NY)

NY

09/18/2012 - 10/11/2013

MAXIM GROUP LLC (NEW YORK NY)

NY

06/13/2012 - 09/07/2012

RODMAN & RENSHAW, LLC (NEW YORK NY)

NJ

05/27/2011 - 04/13/2012

RODMAN & RENSHAW, LLC (JERSEY CITY NJ)

NJ

03/19/2010 - 05/27/2011

HUDSON SECURITIES,INC. (JERSEY CITY NJ)

NY

10/17/2008 - 03/26/2010

ARDOUR CAPITAL INVESTMENTS, LLC (LONG BEACH NY)

NY

02/11/2008 - 10/14/2008

DAWSON JAMES SECURITIES, INC. (NEW YORK NY)

NY

10/25/2007 - 02/08/2008

CAPITAL GROWTH FINANCIAL, LLC (NEW YORK NY)

NY

05/16/2003 - 10/15/2007

MAXIM GROUP LLC (NEW YORK NY)

NY

04/17/2001 - 12/09/2002

MIDWOOD SECURITIES, INC. (NEW YORK NY)

NY

06/25/1996 - 02/16/2001

CCF INTERNATIONAL FINANCE CORP. (NEW YORK NY)

NY

01/01/1996 - 01/18/1996

HSBC SECURITIES, INC. (NEW YORK CITY NY)

NA

09/24/1993 - 01/01/1996

JAMES CAPEL INCORPORATED

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Licenses & Designations

BC

Issued 01/07/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/20/1996

Series 24 - General Securities Principal Examination

BC

Issued 09/16/1993

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional 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 08/01/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Thomas Joseph Higgins.
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