Thomas Higgins
Thomas Higgins is a registered investment advisor at Advisors Asset Management, INC., based in Boca Raton, FL, with 12 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,867 clients with $2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
AAM provides investment management services for separately managed accounts. The annual fees for fixed income strategies range from 0.20% to 2.00%, and equity strategies range from 0.45% to 2.5%. Fees and services may be negotiable. AAM usually requires a minimum account size of $250,000 for fixed income strategies and $100,000 for equity strategies.
Location
1499 W. Palmetto Park Road, Suite 401, Boca Raton, FL, 33486
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Regulatory History
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.
Learn about disclosures →Employment History
Current Registrations
Advisors Asset Management, INC.
Advisors Asset Management, INC.Broker
Advisors Asset Management, INC.
Previous Registrations
Hennion & Walsh Asset Management, INC.
Hennion & Walsh, INC.Broker
Guggenheim Funds Distributors, LLCBroker
Guggenheim Investments
Nuveen Asset Management, LLC
Nuveen Securities, LLCBroker
Incapital Insurance Services, LLCBroker
Incapital LLCBroker
Morgan Stanley
Morgan StanleyBroker
State Registrations8 states
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.