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Richard Louis Galen

Hilltop Securities Inc.

Dallas, TX

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Current Employers
Hilltop Securities Inc.

717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-12-20
WA RA APPROVED 2023-06-21
MI RA APPROVED 2023-06-12
OK RA APPROVED 2023-06-12
TX RA APPROVED 2015-08-21
  • FL RA
    APPROVED
    Since 2024-12-20
  • WA RA
    APPROVED
    Since 2023-06-21
  • MI RA
    APPROVED
    Since 2023-06-12
  • OK RA
    APPROVED
    Since 2023-06-12
  • TX RA
    APPROVED
    Since 2015-08-21

Branch Locations

8201 Preston Rd. Suite 600, Dallas, TX 75225 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hilltop Securities Inc. Dallas TX 08/2015 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-15
S63 Uniform Securities Agent State Law Examination 1988-01-05
  • S65 Uniform Investment Adviser Law Examination
    2002-05-15
  • S63 Uniform Securities Agent State Law Examination
    1988-01-05

View on SEC IAPD

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