{"hits":{"total":1,"hits":[{"_type":"_doc","_source":{"content":"{\"basicInformation\": {\"individualId\": 2376949, \"firstName\": \"DAVID\", \"middleName\": \"PATRICK\", \"lastName\": \"HIGGINS\", \"otherNames\": [\"DAVID  HIGGINS\"], \"bcScope\": \"Active\", \"iaScope\": \"Active\", \"daysInIndustryCalculatedDate\": \"9/9/1993\"}, \"currentEmployments\": [{\"firmId\": 291361, \"firmName\": \"ROCKEFELLER FINANCIAL LLC\", \"iaOnly\": \"N\", \"registrationBeginDate\": \"1/18/2019\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"114033\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"70054\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"N\", \"supervisedFromFlag\": \"Y\", \"privateResidenceFlag\": \"N\", \"branchOfficeId\": \"703004\", \"street1\": \"3060 Peachtree Road, NW, Suite 110\", \"city\": \"ATLANTA\", \"cityAlias\": [\"ATL\", \"ATLANTA\"], \"state\": \"GA\", \"country\": \"United States\", \"zipCode\": \"30305\", \"latitude\": \"33.834773\", \"longitude\": \"-84.388402\", \"geoLocation\": \"33.834773,-84.388402\", \"nonRegisteredOfficeFlag\": \"N\", \"elaBeginDate\": \"11/01/2025\"}]}], \"currentIAEmployments\": [{\"firmId\": 294197, \"firmName\": \"ROCKEFELLER CAPITAL MANAGEMENT\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"2/21/2024\", \"firmBCScope\": \"NOTINSCOPE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"113009\", \"iaSECNumberType\": \"801\", \"branchOfficeLocations\": [{\"displayOrder\": 1, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"Y\", \"city\": \"Jackson\", \"state\": \"WY\", \"country\": \"United States\", \"nonRegisteredOfficeFlag\": \"Y\", \"elaBeginDate\": \"11/01/2025\"}]}, {\"firmId\": 291361, \"firmName\": \"ROCKEFELLER CAPITAL MANAGEMENT\", \"iaOnly\": \"Y\", \"registrationBeginDate\": \"1/18/2019\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\", \"iaSECNumber\": \"114033\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"70054\", \"branchOfficeLocations\": [{\"displayOrder\": 2, \"locatedAtFlag\": \"Y\", \"supervisedFromFlag\": \"N\", \"privateResidenceFlag\": \"Y\", \"city\": \"Jackson\", \"state\": \"WY\", \"country\": \"United States\", \"nonRegisteredOfficeFlag\": \"Y\", \"elaBeginDate\": \"11/01/2025\"}]}], \"previousEmployments\": [{\"iaOnly\": \"N\", \"iaSECNumber\": \"14235\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"7221\", \"firmId\": 7691, \"firmName\": \"MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED\", \"city\": \"ATLANTA\", \"state\": \"GA\", \"registrationBeginDate\": \"9/10/1993\", \"registrationEndDate\": \"1/22/2019\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\"}], \"previousIAEmployments\": [{\"iaOnly\": \"Y\", \"iaSECNumber\": \"14235\", \"iaSECNumberType\": \"801\", \"bdSECNumber\": \"7221\", \"firmId\": 7691, \"firmName\": \"MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED\", \"city\": \"ATLANTA\", \"state\": \"GA\", \"country\": \"United States\", \"registrationBeginDate\": \"4/17/1998\", \"registrationEndDate\": \"1/22/2019\", \"firmBCScope\": \"ACTIVE\", \"firmIAScope\": \"ACTIVE\"}], \"disclosureFlag\": \"Y\", \"iaDisclosureFlag\": \"Y\", \"disclosures\": [{\"eventDate\": \"3/28/2001\", \"disclosureType\": \"Customer Dispute\", \"disclosureResolution\": \"Closed-No Action\", \"isIapdExcludedCCFlag\": \"N\", \"isBcExcludedCCFlag\": \"N\", \"bcCtgryType\": 10, \"iaCtgryType\": 10, \"disclosureDetail\": {\"Allegations\": \"CLIENT CLAIMS EQUITY TRADES IN HER ACCOUNT WERE NOT SUITABLE.  NO DAMAGES ALLEGED BY CLIENT.\", \"DisplayAAOLinkIfExists\": \"N\", \"arbitrationClaimFiledDetail\": \"\", \"arbitrationDocketNumber\": \"\", \"Broker Comment\": [\"THE COMPLAINT IS DEEMED TO HAVE NO MERIT.\"]}}], \"examsCount\": {\"stateExamCount\": 2, \"principalExamCount\": 0, \"productExamCount\": 3}, \"stateExamCategory\": [{\"examCategory\": \"Series 65\", \"examName\": \"Uniform Investment Adviser Law Examination\", \"examTakenDate\": \"9/19/1994\", \"examScope\": \"IA\"}, {\"examCategory\": \"Series 63\", \"examName\": \"Uniform Securities Agent State Law Examination\", \"examTakenDate\": \"9/21/1993\", \"examScope\": \"BC\"}], \"principalExamCategory\": [], \"productExamCategory\": [{\"examCategory\": \"SIE\", \"examName\": \"Securities Industry Essentials Examination\", \"examTakenDate\": \"10/1/2018\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 31\", \"examName\": \"Futures Managed Funds Examination\", \"examTakenDate\": \"2/25/2004\", \"examScope\": \"BC\"}, {\"examCategory\": \"Series 7\", \"examName\": \"General Securities Representative Examination\", \"examTakenDate\": \"9/9/1993\", \"examScope\": \"BC\"}], \"registrationCount\": {\"approvedSRORegistrationCount\": 1, \"approvedFinraRegistrationCount\": 1, \"approvedStateRegistrationCount\": 40, \"approvedIAStateRegistrationCount\": 3}, \"registeredStates\": [{\"state\": \"Alabama\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/12/2019\"}, {\"state\": \"Alaska\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/20/2019\"}, {\"state\": \"Arizona\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"California\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Colorado\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Connecticut\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Delaware\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/5/2019\"}, {\"state\": \"Florida\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Georgia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Georgia\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"2/4/2021\"}, {\"state\": \"Illinois\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"4/15/2019\"}, {\"state\": \"Indiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/27/2019\"}, {\"state\": \"Kansas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Kentucky\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Louisiana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/25/2019\"}, {\"state\": \"Maine\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Massachusetts\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Michigan\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Minnesota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/12/2019\"}, {\"state\": \"Mississippi\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/24/2019\"}, {\"state\": \"Missouri\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Montana\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/27/2019\"}, {\"state\": \"Nevada\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"New Hampshire\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/22/2019\"}, {\"state\": \"New Jersey\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"New York\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"North Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Ohio\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Oregon\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Pennsylvania\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Puerto Rico\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Rhode Island\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"South Carolina\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"South Dakota\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"3/12/2026\"}, {\"state\": \"Tennessee\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Texas\", \"regScope\": \"IA\", \"status\": \"APPROVED_RES\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Texas\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"2/11/2019\"}, {\"state\": \"Texas\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"2/21/2024\"}, {\"state\": \"Vermont\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Virgin Islands\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"West Virginia\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"1/18/2019\"}, {\"state\": \"Wyoming\", \"regScope\": \"BC\", \"status\": \"APPROVED\", \"regDate\": \"11/11/2025\"}, {\"state\": \"Wyoming\", \"regScope\": \"IA\", \"status\": \"APPROVED\", \"regDate\": \"11/12/2025\"}], \"registeredSROs\": [{\"sro\": \"FINRA\", \"status\": \"APPROVED\", \"CategoriesList\": [\"Full Registration/General Securities Representative\"]}], \"brokerDetails\": {\"hasBCComments\": \"N\", \"hasIAComments\": \"N\", \"legacyReportStatusDescription\": \"Not Requested\"}}"}}]}}