Sean O'higgins, financial advisor Albany NY

Sean O'higgins

CRD Number: 4712728
Current Firm: Ohiggins Asset Management Inc.

Sean O'higgins (CRD# 4712728) is an Investment Advisor Representative working at Ohiggins Asset Management Inc. in Albany, NY and has over 17 years of experience in the finance industry. Sean O'higgins has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
O'higgins Asset Management, Inc. Miami Beach, FL Feb 2018 - Current 3
Ameriprise Financial Services, Inc. Albany, NY Jan 2015 - Nov 2017 2
Bullex Inc. Albany, NY Aug 2013 - Dec 2014 1
C.l. King & Associates Albany, NY Oct 2011 - Jul 2013 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2004
S65 NASAA Investment Advisors Law Examination Feb 2015
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Sean D. O'higgins
Phone Number: 305-861-1883
Firm Website:
Registered State(s):
  • FL
Current Firm Details
Ohiggins Asset Management Inc.
Firm's CRD Number: 107194
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States


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