Individual Firm
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SHAWN THOMAS HIGGINBOTHAM
CRD#: 2760619
IA
B
CSENGE ADVISORY GROUP, LLCCRD#: 131167 205 Magnolia St.
New Smyrna Beach, FL 32168
New Smyrna Beach, FL 32168
LION STREET FINANCIAL, LLCCRD#: 165828 205 Magnolia St
New Smyrna Beach, FL 32168
New Smyrna Beach, FL 32168
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5/24/2016
Customer Dispute
Denied
2/21/1992
Criminal
Final Disposition
State Registrations
B
Alabama 8/24/2018
B
Georgia 7/31/2018
IA
Florida 2/15/2018
B
Ohio 3/30/2023
B
Florida 8/24/2018
SRO Registrations
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 2/15/2018
B
Registered with this firm since 7/27/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/12/2017 - 07/31/2018 | NEW SMYRNA BEACH, FL | |
B | 12/05/2017 - 07/31/2018 | NEW SMYRNA BEACH, FL | |
IA | 02/23/2012 - 12/06/2017 | NEW SMYRNA BEACH, FL | |
B | 02/22/2012 - 12/06/2017 | NEW SMYRNA BEACH, FL | |
IA | 01/26/2012 - 02/27/2012 | ORLANDO, FL | |
IA | 01/03/2012 - 02/27/2012 | ORLANDO, FL | |
B | 05/03/2004 - 02/27/2012 | ORLANDO, FL | |
B | 02/17/2012 - 02/17/2012 | WAYNE, PA | |
IA | 06/05/2008 - 12/31/2011 | ORLANDO, FL | |
B | 10/03/2003 - 03/09/2004 | ATLANTA, GA | |
B | 12/08/1997 - 12/31/2002 | WESTLAKE, TX | |
B | 08/01/1996 - 12/15/1997 | PURCHASE, 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.