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Thomas Peter Higgins

MM Ascend Life Investor Services, LLC

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About Thomas Peter Higgins

Thomas Higgins is a financial professional with over 20 years of experience in the industry. Thomas is currently registered with MM Ascend Life Investor Services, LLC. Previously, Thomas has held positions with several firms including Advisor Dealer Services, Inc., Chase Investment Services Corp., Investors Brokerage Services, Inc., PMG Securities Corporation, and Banc One Securities Corporation. Thomas holds Series 7, Series 24, and SIE licenses and is registered in Ohio.

Firm Information

Thomas Higgins is currently registered with MM Ascend Life Investor Services, LLC. MM Ascend Life Investor Services, LLC is a Limited Liability Company formed in 2021 that is registered in all 50 states and the District of Columbia. It offers other advisory services and is not currently providing active advisory services. It maintains 12 licensed agents, 12 investment adviser representatives, 12 registered representatives, and 2 investment advisory functions. The firm has filed four regulatory event disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

124

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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maintaining registration but not actively providing advisory services

Maintaining registration but not actively providing advisory services

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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other

Maintaining registration but not serving clients

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Thomas Higgins’s Registration & Firm History

OH

03/03/2016 - Present

MM Ascend Life Investor Services, LLC (CINCINNATI OH)

OH

07/26/2012 - 04/05/2016

ADVISER DEALER SERVICES, INC. (DUBLIN OH)

OH

10/05/2006 - 08/06/2010

CHASE INVESTMENT SERVICES CORP. (COLUMBUS OH)

IL

07/29/2005 - 08/21/2006

INVESTORS BROKERAGE SERVICES, INC. (ELGIN IL)

IL

07/29/2005 - 08/21/2006

PMG SECURITIES CORPORATION (ELGIN IL)

IL

11/16/2004 - 08/04/2005

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

IL

07/30/1998 - 08/04/2005

BANC ONE SECURITIES CORPORATION (CHICAGO IL)

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Licenses & Designations

BC

Issued 07/17/1998

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/29/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Peter Higgins.
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