Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Richard Higgins is a financial advisor with LPL Financial LLC in PEARLAND, TX. Thomas has been in the financial services industry since January 1997. Thomas holds licenses to operate as a Registered Representative, Investment Advisor Representative in Colorado and Texas, and is a Registered Principal. Thomas's current employment with LPL Financial LLC dates back to August 2005. Prior to that, Thomas worked for NYLIFE SECURITIES INC., RBC DAIN RAUSCHER INC., AXA ADVISORS, LLC, and THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES. Thomas has earned Series 6, 7, 24, 63, and 65 licenses, along with the SIE. Thomas's background includes experience in the areas of financial planning, portfolio management for businesses and individuals, pension consulting, educational seminars, and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
TX
08/10/2005 - Present
LPL Financial LLC (PEARLAND TX)
NY
08/13/2003 - 08/17/2005
NYLIFE SECURITIES INC. (NEW YORK NY)
NY
06/30/2000 - 08/22/2003
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NY
01/23/1997 - 08/01/2000
AXA ADVISORS, LLC (NEW YORK NY)
NY
01/23/1997 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 07/27/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/05/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1998
Series 7 - General Securities Representative Examination
BC
Issued 01/21/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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