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Thomas P Higgins

Advisors Asset Management, Inc.

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About Thomas P Higgins

Thomas Higgins is a financial advisor at Advisors Asset Management, Inc. Thomas Higgins is a registered representative and investment advisor representative with over 10 years of experience in the financial services industry. Thomas Higgins has been with Advisors Asset Management, Inc. since 2020. Before joining Advisors Asset Management, Inc., Thomas Higgins held positions at Hennion & Walsh, Inc. and Guggenheim Funds Distributors, LLC. Thomas Higgins holds a Series 7, Series 66 and SIE licenses and is registered in multiple states.

Firm Information

Thomas Higgins is currently registered with Advisors Asset Management, Inc.. Advisors Asset Management, Inc. is a corporation formed in 2008 and headquartered in Monument, Colorado. The firm provides investment advisory services to individuals, businesses, and pooled investment vehicles. They specialize in portfolio management and serve a wide range of clients including individuals, corporations, investment companies, pension plans, and other investment advisors. The firm is registered with the SEC and in all 50 states and the District of Columbia. Their website and social media presence provide access to their services and resources.
Advisors Asset Management, Inc.

18925 BASE CAMP ROAD

MONUMENT, CO 80132

$3.85B

Assets Under Management

Not reported

Total Clients

185

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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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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supervisor/evaluator to unit investment trusts

Supervisor/evaluator to unit investment trusts

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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Thomas Higgins’s Registration & Firm History

FL

10/19/2020 - Present

Advisors Asset Management, Inc. (Boca Raton FL)

NJ

01/23/2018 - 10/23/2020

HENNION & WALSH, INC. (PARSIPPANY NJ)

IL

06/23/2017 - 01/12/2018

GUGGENHEIM FUNDS DISTRIBUTORS, LLC (CHICAGO IL)

IL

05/02/2016 - 06/19/2017

NUVEEN SECURITIES, LLC (CHICAGO IL)

FL

08/25/2014 - 05/04/2016

INCAPITAL INSURANCE SERVICES, LLC (BOCA RATON FL)

FL

08/08/2014 - 05/04/2016

INCAPITAL LLC (BOCA RATON FL)

FL

08/13/2013 - 07/07/2014

MORGAN STANLEY (BOCA RATON FL)

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Licenses & Designations

BOTH

Issued 11/19/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/13/2013

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 P Higgins.
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