Shawn Thomas Higginbotham

Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2012 → 12/2017
  Sii Investments, Inc.
  New Smyrna Beach, FL
• 12/2017 → 07/2018
  Fsc Securities Corporation
  New Smyrna Beach, FL
• 12/2017 → 08/2025
  Csenge Advisory Group
  Clearwater, FL
• 07/2018 → 08/2025
  Lion Street Financial, Llc
  Lancaster, OH
• 09/2025 → Present
  Massmutual Life Insurance Co
  Lancaster, OH
• 09/2025 → Present
  Mml Investors Services, Llc
  Lancaster, OH

Previous Registrations

• 2018-02-15 → 2025-08-29
  Csenge Advisory Group, Llc
  Port Saint Lucie, FL
  Clearwater, FL
• 2017-12-12 → 2018-07-31
  Fsc Securities Corporation
  Clearwater, FL
  New Smyrna Beach, FL
  Lancaster, OH
  New Smyrna Beach, FL
• 2012-02-23 → 2017-12-06
  Sii Investments, Inc.
  Wayne, PA
  Orlando, FL
  New Smyrna Beach, FL
• 2008-06-05 → 2012-02-27
  Charles Schwab & Co., Inc.
  Orlando, FL
  Orlando, FL
  Orlando, FL
  Maitland, FL
• 2012-01-03 → 2012-02-27
  Schwab Wealth Advisory, Inc.
  Orlando, FL

Other Businesses

NAME: JONES & COMAPNY, LLC, INV REL: N ADD: 161 W. MAIN ST, LANCASTER, OH 43130 NATURE: ACCOUNTING POSITION: MARKETING MANGER START DATE: 09/01/2025 NO. HR/MO: 25 NO. HR/MO DURING SEC TRADING: 15 DESCRIBE DUTIES: MARKETING AND SOCIAL MEDIA MANAGEMENT FOR A GROUP OF ACCOUNTING FIRMS

Exams

• S66 Uniform Combined State Law Examination
  2008-06-03
• S65 Uniform Investment Adviser Law Examination
  1996-08-15
• S63 Uniform Securities Agent State Law Examination
  1996-08-07

Designations

• Certified Financial Planner

Other Names

• Shawn Higginbotham