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Efrain Felipe Borenstein

Hilltop Securities Inc.

Sherman Oaks, CA

CRD 1931739

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Employer firm

Hilltop Securities Inc. CRD 6220

$2.51B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Hilltop Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-12-10
  • CA RA
    APPROVED
    Since 2008-12-10

Branch Locations

15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403 • 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 12/2008 Present
Previous Registrations
  • 2004-01-28 → 2008-12-23
    M.L. Stern & Co., Llc.
    Beverly Hills, CA
    Beverly Hills, CA
    Beverly Hills, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-12-11
  • S63 Uniform Securities Agent State Law Examination
    1990-12-11

View on SEC IAPD

Nearby Firms

MORPHEUS ADVISORS
BELAY INVESTMENT GROUP, LLC
HIGHLINE ASSET MANAGEMENT, LLC

Nearby Investors

ANDY BOB CHONG
HUGH ARI MEYER
RYAN DAVID MEACHAM

Nearby Offices

MORPHEUS ADVISORS · SHERMAN OAKS, CA
BELAY INVESTMENT GROUP, LLC · SHERMAN OAKS, CA
HIGHLINE ASSET MANAGEMENT, LLC · SHERMAN OAKS, CA

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