TH
CFP
TH
CFP
Thomas Higgins
39 Years of Experience
Leawood, KS
1 DisclosureBroker
Thomas Higgins is a CFP-designated registered investment advisor at UBS Financial Services INC., based in Leawood, KS, with 39 years of industry experience. Thomas 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 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9356 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
One Hallbrook Place, 11150 Overbrook Road, Leawood, KS, 66211-2298
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2026Denied
Employment History
Current Registrations
UBS Financial Services INC.
August 2015 - Present · 11 yrs 2 mos
UBS Financial Services INC.Broker
August 2015 - Present · 11 yrs 2 mos
Previous Registrations
Wells Fargo Advisors, LLC
July 2005 - September 2015 · 10 yrs 2 mos
Wells Fargo Advisors, LLCBroker
July 2005 - September 2015 · 10 yrs 2 mos
Morgan Stanley
August 2000 - July 2005 · 4 yrs 11 mos
Morgan Stanley Dw INC.Broker
January 1994 - July 2005 · 11 yrs 6 mos
Dain Bosworth IncorporatedBroker
November 1986 - January 1994 · 7 yrs 2 mos
State Registrations17 states
ALAZCACOFLGAIAKSLAMIMNMONCOHOKTXWA
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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