Thomas Michael Higgins

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-06-29
KS	RA	APPROVED	2015-08-27

TX RA
APPROVED

Since 2020-06-29
KS RA
APPROVED

Since 2015-08-27

Branch Locations

One Hallbrook Place 11150 Overbrook Road, Leawood, KS 66211-2298 • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Leawood	KS	08/2015	Present

08/2015 → Present

Ubs Financial Services Inc.

Leawood, KS

Previous Registrations

2005-07-08 → 2015-09-03

Wells Fargo Clearing Services, Llc

Overland Park, KS

Overland, KS
2000-08-25 → 2005-07-08

Morgan Stanley Dw Inc.

Kansas City, MO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-02-19
S63	Uniform Securities Agent State Law Examination	1986-11-26

S65 Uniform Investment Adviser Law Examination

1997-02-19
S63 Uniform Securities Agent State Law Examination

1986-11-26

Designations

Other Names

Thomas M Higgins
Tom Higgins

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Designations

Other Names

Other Firms

Other Investors

Other Offices

Reviews