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Robert Dalton Higgins

Dalton Financial LLC

Charlotte, NC

CRD 2500734

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Employer firm

Dalton Financial LLC CRD 167878

$49.8M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
Dalton Financial Llc

Charlotte, NC • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2014-08-26
  • NC RA
    APPROVED
    Since 2014-08-26

Branch Locations

Charlotte, NC • 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
Dalton Financial Llc Charlotte NC 10/2013 Present
Allen C. Ewing & Co. Charlotte FL 04/2015 Present
  • 10/2013 → Present
    Dalton Financial Llc
    Charlotte, NC
  • 04/2015 → Present
    Allen C. Ewing & Co.
    Charlotte, FL
Previous Registrations
  • 2014-05-05 → 2014-06-18
    Haven Capital
    Atlanta, GA
  • 2003-12-16 → 2013-09-17
    Lpl Financial Llc
    Greenville, NC
    Charlotte, NC
  • 2001-12-31 → 2002-11-22
    1St Global Advisors Inc
    Charlotte, NC
Other Businesses

1. 09/06/2013 - RIA / DALTON FINANCIAL LLC AS PRINCIPAL.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-06
S63 Uniform Securities Agent State Law Examination 1994-07-14
  • S65 Uniform Investment Adviser Law Examination
    1999-12-06
  • S63 Uniform Securities Agent State Law Examination
    1994-07-14
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant
Other Names
  • Bob Higgins

View on SEC IAPD

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