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Detailed Report
JAY RICHARD HIGGENBOTHAM
CRD#: 1463942
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 569 BROOKWOOD VLG
BIRMINGHAM, AL 35209
Registration History
199019952000200520102015202020252 FIRMS2013 - 2014 (1 year)2 FIRMS2014 - Present (10 years)BMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2001 - 2013 (11 years)BREGIONS INVESTMENT COMPANY, INC. (CRD# 17618)1986 - 2001 (14 years)IAMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2003 - 2013 (10 years)
Disclosure(s)
View By:
12/12/2002
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
Alabama 11/6/2014
B
Montana 11/20/2018
IA
Alabama 11/6/2014
B
Nevada 7/6/2021
B
Arizona 1/7/2021
B
New Mexico 5/30/2018
B
California 11/6/2014
B
New York 2/26/2015
B
Colorado 11/6/2014
B
North Carolina 11/6/2014
B
Florida 11/6/2014
B
Ohio 1/2/2021
B
Georgia 11/7/2014
B
Pennsylvania 1/5/2021
B
Kentucky 1/14/2021
B
South Carolina 10/31/2023
B
Louisiana 3/14/2024
B
Tennessee 11/6/2014
B
Maryland 1/4/2021
IA
Texas 11/7/2014
B
Massachusetts 1/4/2021
B
Texas 2/13/2015
B
Michigan 2/29/2016
B
Virginia 11/6/2014
B
Minnesota 7/16/2021
B
Washington 4/17/2018
B
Mississippi 11/6/2014

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
569 BROOKWOOD VLG, BIRMINGHAM, AL 35209
Registered with this firm since 11/6/2014
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
569 BROOKWOOD VLG, BIRMINGHAM, AL 35209
Registered with this firm since 11/6/2014
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/13/2013 - 11/20/2014 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) BIRMINGHAM, AL
B
 02/13/2013 - 11/20/2014 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) BIRMINGHAM, AL
IA
 02/12/2003 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) BIRMINGHAM, AL
B
 04/12/2001 - 02/13/2013 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) BIRMINGHAM, AL
B
 08/28/1986 - 04/12/2001 REGIONS INVESTMENT COMPANY, INC. (CRD#:17618) BIRMINGHAM, AL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.