Robert Higgins, financial advisor Charlotte NC
103 score

Robert Higgins

CRD Number: 2500734
Current Firm: Dalton Financial LLC
Robert Higgins (CRD# 2500734) is an Investment Advisor Representative working at Dalton Financial LLC in Charlotte, NC and has over 21 years of experience in the finance industry. Robert 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 putclients' interests first and comply with the Financial Planning Practice Standards.
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Professional Designations
Company Name Location Dates Years
Allen C. Ewing & Company Charlotte, FL Apr 2015 - Current 1
Dalton Financial LLC Charlotte, NC Oct 2013 - Current 3
Linsco/private Ledger Corp. Greenville, NC Dec 2003 - Sep 2013 9
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1994
S65 NASAA Investment Advisors Law Examination Dec 1999
Contact Info for Robert D. Higgins
Phone Number: (704) 366-8676
Firm Website: http://www.daltonfin.com
Registered State(s):
  • NC
Current Firm Details
Dalton Financial LLC
Firm's CRD Number: 167878
By the Numbers
  • Total Assets Under Management
    14
    MILLIONS
  • Total Number of Accounts
    70
    ACCOUNTS
  • Average Account Value
    $192,857
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

NC

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BADGES
103
Verified Page
Data verified by both the advisor and the public regulatory data.
Clean Record
This advisor has a clean track record with regulators.

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