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Gary Scott Waller

Hilltop Securities Inc.

Roseville, CA

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Current Employers
Hilltop Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OK RA APPROVED 2026-05-29
ID RA APPROVED 2023-06-21
AZ RA APPROVED 2023-06-14
HI RA APPROVED 2023-06-01
OR RA APPROVED 2023-02-27
FL RA APPROVED 2013-09-25
CA RA APPROVED 2008-12-10
  • OK RA
    APPROVED
    Since 2026-05-29
  • ID RA
    APPROVED
    Since 2023-06-21
  • AZ RA
    APPROVED
    Since 2023-06-14
  • HI RA
    APPROVED
    Since 2023-06-01
  • OR RA
    APPROVED
    Since 2023-02-27
  • FL RA
    APPROVED
    Since 2013-09-25
  • CA RA
    APPROVED
    Since 2008-12-10

Branch Locations

3400 Douglas Blvd. Suite 100, Roseville, CA 95661 • 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. San Francisco CA 10/2015 02/2024
Hilltop Securities Inc. Roseville CA 02/2024 Present
Previous Registrations
  • 2006-07-10 → 2008-12-22
    M.L. Stern & Co., Llc.
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-24
S63 Uniform Securities Agent State Law Examination 2002-07-11
  • S65 Uniform Investment Adviser Law Examination
    2006-05-24
  • S63 Uniform Securities Agent State Law Examination
    2002-07-11
Designations
Other Names
  • Garrick Waller

View on SEC IAPD

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Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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