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Thomas P Higgins

Rbc Capital Markets, LLC

Dublin, OH

Boston, MA

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
VI RA APPROVED 2026-08-11
OH RA APPROVED 2026-08-06
TX RA APPROVED_RES 2026-08-06
  • VI RA
    APPROVED
    Since 2026-08-11
  • OH RA
    APPROVED
    Since 2026-08-06
  • TX RA
    APPROVED_RES
    Since 2026-08-06

Branch Locations

Dublin, OH • United States

225 Franklin Street Suite 2700, Boston, MA 02110 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nuveen Investments Chicago IL 05/2016 06/2017
Guggenheim Funds Distributors Llc Chicago IL 06/2017 01/2018
Hennion & Walsh, Inc. Parsippany NJ 01/2018 10/2020
Advisors Asset Management, Inc Monument CO 10/2020 08/2026
Rbc Capital Markets, Llc Cleveland OH 08/2026 Present
  • 05/2016 → 06/2017
    Nuveen Investments
    Chicago, IL
  • 06/2017 → 01/2018
    Guggenheim Funds Distributors Llc
    Chicago, IL
  • 01/2018 → 10/2020
    Hennion & Walsh, Inc.
    Parsippany, NJ
  • 10/2020 → 08/2026
    Advisors Asset Management, Inc
    Monument, CO
  • 08/2026 → Present
    Rbc Capital Markets, Llc
    Cleveland, OH
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-19
  • S66 Uniform Combined State Law Examination
    2013-11-19
Other Names
  • Thomas P Higgins
  • Thomas Patrick Higgins

View on SEC IAPD

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