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Carol Elaine Cheeks

Hilltop Securities Asset Management, LLC

Haymarket, VA

Dallas, TX

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Current Employers
Hilltop Securities Asset Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2025-06-11
FL RA APPROVED 2025-06-02
CA RA APPROVED 2025-05-12
ME RA APPROVED 2025-05-12
TX RA APPROVED 2025-05-12
  • VA RA
    APPROVED
    Since 2025-06-11
  • FL RA
    APPROVED
    Since 2025-06-02
  • CA RA
    APPROVED
    Since 2025-05-12
  • ME RA
    APPROVED
    Since 2025-05-12
  • TX RA
    APPROVED
    Since 2025-05-12

Branch Locations

Haymarket, VA • United States

717 N. Harwood Street Suite 3400, Dallas, TX 75201 • 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 01/2016 Present
Hilltop Securities Asset Management, Llc Dallas TX 05/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-07
S65 Uniform Investment Adviser Law Examination 2002-05-14
S63 Uniform Securities Agent State Law Examination 1996-10-15
  • S66 Uniform Combined State Law Examination
    2025-04-07
  • S65 Uniform Investment Adviser Law Examination
    2002-05-14
  • S63 Uniform Securities Agent State Law Examination
    1996-10-15
Other Names
  • Carol Elaine Shannon
  • Carol E Cheeks

View on SEC IAPD

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