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Thomas Joseph Higgins

Balanced Rock Investment Advisors

Roslindale, MA

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Current Employers
Balanced Rock Investment Advisors

4238 Washington Street Suite 311, Roslindale, MA 02131 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-07-11
MA RA APPROVED 2022-02-17
TX RA APPROVED_RES 2022-01-06
  • CA RA
    APPROVED
    Since 2022-07-11
  • MA RA
    APPROVED
    Since 2022-02-17
  • TX RA
    APPROVED_RES
    Since 2022-01-06

Branch Locations

4238 Washington Street Suite 311, Roslindale, MA 02131 • 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
Ameritas Investment Corp Bethesda MD 08/2016 09/2018
Financial Engines Advisors L.L.C. Sunnyvale CA 07/2019 08/2020
Consulting Newburyport MA 09/2018 07/2019
Independent Consulting Newburyport MA 08/2020 12/2021
Balanced Rock Investment Advisors Roslindale MA 12/2021 Present
  • 08/2016 → 09/2018
    Ameritas Investment Corp
    Bethesda, MD
  • 07/2019 → 08/2020
    Financial Engines Advisors L.L.C.
    Sunnyvale, CA
  • 09/2018 → 07/2019
    Consulting
    Newburyport, MA
  • 08/2020 → 12/2021
    Independent Consulting
    Newburyport, MA
  • 12/2021 → Present
    Balanced Rock Investment Advisors
    Roslindale, MA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-09
  • S66 Uniform Combined State Law Examination
    2016-05-09
Other Names
  • Thomas Joseph Higgins
  • Tom Higgins
  • Thomas Joseph Higgins

View on SEC IAPD

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Laura Marie Daniels
Jonathan A SMITH
MICHELINE E YACOUB
Scott Kluge
Pavel Prihodko

Other Offices

EAGLE STRATEGIES LLC · BOSTON, MA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BOSTON, MA
GILBERT INVESTMENT MANAGEMENT · BOSTON, MA
LPL FINANCIAL LLC · WEST ROXBURY, MA
CITIZENS SECURITIES, INC. · W. ROXBURY, MA
MML INVESTORS SERVICES, LLC · WEST ROXBURY, MA
OSAIC INSTITUTIONS, INC. · West Roxbury, MA
WGI DM, LLC · BOSTON, MA

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