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Detailed Report
JAMES E HIGGINBOTHAM III
JAMES EDWARD HIGGINBOTHAM III, JAMES EDWARD HIGGINBOTHAM, TRIP EDWARD HIGGINBOTHAM III
CRD#: 3272003
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 4200 W CYPRESS STREET
SUITE 700
TAMPA, FL 33607
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2010 - Present (14 years)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1999 - 2000 (<1 year)
License(s)

State Registrations

IA
Alabama 4/10/2021
B
Nebraska 1/14/2025
B
Alabama 12/21/2021
B
Nevada 8/21/2019
B
Arizona 1/10/2025
IA
Nevada 8/28/2019
B
Arkansas 1/10/2025
B
New Hampshire 1/10/2025
B
California 1/10/2025
B
New Jersey 6/10/2020
B
Colorado 1/10/2025
IA
New Jersey 6/15/2020
B
Connecticut 1/10/2025
B
New York 6/8/2021
B
Delaware 1/10/2025
IA
New York 6/8/2021
B
District of Columbia 1/10/2025
B
North Carolina 10/26/2010
B
Florida 8/6/2015
IA
North Carolina 11/1/2010
IA
Florida 8/7/2015
B
North Dakota 1/10/2025
B
Georgia 11/5/2018
B
Ohio 8/7/2019
IA
Georgia 5/17/2021
IA
Ohio 3/31/2021
B
Hawaii 1/10/2025
B
Oklahoma 1/10/2025
B
Idaho 1/10/2025
B
Oregon 1/10/2025
B
Illinois 8/10/2016
B
Pennsylvania 3/5/2021
B
Indiana 1/10/2025
IA
Pennsylvania 3/5/2021
B
Iowa 1/10/2025
B
Puerto Rico 1/10/2025
B
Kansas 8/20/2019
B
Rhode Island 1/10/2025
B
Kentucky 10/26/2010
B
South Carolina 4/4/2013
IA
Kentucky 11/1/2010
IA
South Carolina 4/8/2013
B
Louisiana 1/10/2025
B
South Dakota 1/10/2025
B
Maine 1/10/2025
B
Tennessee 1/10/2025
B
Maryland 1/10/2025
B
Texas 9/13/2018
B
Massachusetts 3/8/2017
IA
Texas 9/13/2018
IA
Massachusetts 4/7/2021
B
Utah 1/10/2025
B
Michigan 4/10/2021
B
Vermont 1/10/2025
IA
Michigan 4/10/2021
B
Virginia 3/31/2021
B
Minnesota 1/6/2021
IA
Virginia 3/31/2021
IA
Minnesota 1/6/2021
B
Washington 9/4/2019
B
Mississippi 1/10/2025
IA
Washington 9/4/2019
B
Missouri 11/9/2020
B
West Virginia 1/10/2025
IA
Missouri 11/9/2020
B
Wisconsin 1/10/2025
B
Montana 1/10/2025
B
Wyoming 1/10/2025

SRO Registrations

B
 FINRA

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
PARK AVENUE SECURITIES LLC (CRD#:46173)
4200 W CYPRESS STREET SUITE 700, TAMPA, FL 33607
Registered with this firm since 11/1/2010
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
4200 W CYPRESS STREET SUITE 700, TAMPA, FL 33607
Registered with this firm since 10/13/2010
Previous Registration(s)
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B
 09/17/1999 - 08/03/2000 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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.