Individual Firm
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JOHN WALTER HIGGINS II
JOHN WALTER HIGGINS
CRD#: 1416660
IA
B
WELLS FARGO ADVISORSCRD#: 19616 100 E SOUTH ST
CHARLOTTESVILLE, VA 22902
CHARLOTTESVILLE, VA 22902
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5/19/1998
Customer Dispute
Denied
State Registrations
B
California 9/1/2016
B
New York 9/1/2016
B
Colorado 10/8/2019
B
North Carolina 9/1/2016
B
Connecticut 9/1/2016
B
Ohio 9/1/2016
B
Delaware 9/1/2016
B
Pennsylvania 9/1/2016
B
District of Columbia 1/9/2025
B
South Carolina 9/2/2016
B
Florida 9/1/2016
B
South Dakota 11/15/2024
B
Idaho 9/6/2016
B
Tennessee 10/18/2016
B
Illinois 9/1/2016
IA
Texas 9/1/2016
B
Indiana 9/14/2016
B
Texas 9/13/2016
B
Louisiana 9/1/2016
B
Utah 4/3/2025
B
Maryland 9/1/2016
B
Virginia 9/1/2016
B
Massachusetts 9/1/2016
IA
Virginia 9/1/2016
B
New Hampshire 7/10/2024
B
Washington 9/1/2016
B
New Jersey 9/1/2016
B
Wisconsin 8/10/2023
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/1/2016
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Registered with this firm since 9/1/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 09/13/2016 | CHARLOTTESVILLE, VA | |
B | 06/01/2009 - 09/13/2016 | CHARLOTTESVILLE, VA | |
IA | 09/30/2005 - 06/01/2009 | CHARLOTTESVILLE, VA | |
B | 09/30/2005 - 06/01/2009 | CHARLOTTESVILLE, VA | |
IA | 12/01/1998 - 10/05/2005 | CHARLOTTESVILLE, VA | |
B | 03/04/1998 - 10/05/2005 | PURCHASE, NY | |
B | 06/22/1992 - 03/06/1998 | NEW YORK, NY | |
B | 10/31/1990 - 06/23/1992 | ST. LOUIS, MO | |
B | 06/04/1990 - 10/18/1990 | NEW YORK, NY | |
B | 12/17/1985 - 06/12/1990 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.