Anna Marie Higgins

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2025-02-04
IL	RA	APPROVED	2025-01-23

TX RA
APPROVED_RES

Since 2025-02-04
IL RA
APPROVED

Since 2025-01-23

Branch Locations

Prescott, AZ • United States

25 East First Street, Hinsdale, IL 60521 • 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

Organization	City	State	From	To
Howe Barnes Investments, Inc.	Chicago	IL	03/1995	01/2025
Painewebber Inc.	Oakbrook Terrace	IL	08/1999	01/2025
Lpl Financial Llc	Hinsdale	IL	01/2025	Present
Wintrust Bank, N.A.	Hinsdale	IL	04/2000	Present

03/1995 → 01/2025

Howe Barnes Investments, Inc.

Chicago, IL
08/1999 → 01/2025

Painewebber Inc.

Oakbrook Terrace, IL
01/2025 → Present

Lpl Financial Llc

Hinsdale, IL
04/2000 → Present

Wintrust Bank, N.A.

Hinsdale, IL

Previous Registrations

2016-06-29 → 2025-01-23

Wintrust Investments Llc

Hinsdale, IL

Hinsdale, IL

Naperville, IL

Chicago, IL

Other Businesses

1- 01/2025- Investment products and services are offered through LPL Financial LLC using the DBA/trade name Wintrust Investments- DBA for LPL Business (entity for LPL business)- Investment Related - At Reported Business Location(s) - Start Date 03/03/2020- 150 hours per month/ 130 hours during trading 2- 10/02/2025- Sessions- Outside/W-2 Employment- Not INV Related- Home Based- Start date 08/08/2025- 8 Hours Per Month- 8 Hours During Trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-06-27
S63	Uniform Securities Agent State Law Examination	1994-06-03

S65 Uniform Investment Adviser Law Examination

2016-06-27
S63 Uniform Securities Agent State Law Examination

1994-06-03

Other Names

Anna Martin
Anna Marie Martin

View on SEC IAPD