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Deborah Higgins

Higgins Capital Management, INC.
41 Years of Experience
La Jolla, CA
BrokerSells Insurance
View SEC Summary
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Deborah Higgins is a registered investment advisor at Higgins Capital Management, INC., based in La Jolla, CA, with 41 years of industry experience. Deborah is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 11 clients with $7.7M in assets under management.

Higgins Capital Management, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2 advisors
Number of Clients
11 clients
Average Client Portfolio
$699K average
Assets Under Management
$7.7M

Fee Structure

Minimum Investment:$250K
Investment management only (planning not offered)
Minimum Annual Fee:$125
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any3.00%

Fees range from 0.50% to 3.00% per year depending on the account type and services. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

2223 Avenida De La Playa Ste. 210, La Jolla, CA, 92037-3218

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Deborah is an investment advisor and holds licenses for accident/health, life, and variable contracts insurance. She dedicates about half her time to the investment advisory business, minimal time to insurance, minimal time per year to the City of San Diego Investment Advisory Committee, and minimal time per month to the Alliance Healthcare Foundation Finance Committee.

Employment History
Current Registrations
Higgins Capital Management, INC.
March 2007 - Present · 19 yrs 7 mos
Higgins Capital Management, INC.Broker
February 1997 - Present · 29 yrs 8 mos
Previous Registrations
Grant Bettingen, INC.Broker
March 1996 - September 1997 · 1 yr 6 mos
Smith Barney INC.Broker
July 1993 - April 1995 · 1 yr 9 mos
Lehman Brothers INC.Broker
October 1992 - July 1993 · 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 1984 - October 1992 · 8 yrs 8 mos
State Registrations4 states
CAGAIDUT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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