Sean Dewey O'higgins

Current Employers

Ohiggins Asset Management Inc

Miami Beach, FL • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-03-21

FL RA
APPROVED

Since 2018-03-21

Branch Locations

Miami Beach, FL • United States

North Loudonville, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Albany	NY	01/2015	11/2017
O'HIggins Asset Management, Inc.	Miami Beach	FL	02/2018	Present

01/2015 → 11/2017

Ameriprise Financial Services, Inc.

Albany, NY
02/2018 → Present

O'HIggins Asset Management, Inc.

Miami Beach, FL

Previous Registrations

2010-07-29 → 2011-11-07

Equitable Advisors, Llc

Loudonville, NY

Malta, NY

Malta, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-02-24
S63	Uniform Securities Agent State Law Examination	2004-05-13

S65 Uniform Investment Adviser Law Examination

2015-02-24
S63 Uniform Securities Agent State Law Examination

2004-05-13

Designations

Other Names

Sean Dewey O'HIggins
Sean Dewey Ohiggins

View on SEC IAPD