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James Earl Pence

Hilltop Securities Inc.

Norman, OK

CRD 2953835

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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
OK RA APPROVED 2009-06-05
  • OK RA
    APPROVED
    Since 2009-06-05

Branch Locations

704 Wall Street, Norman, OK 73069 • 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. Norman OK 06/2009 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1997-12-04
  • S66 Uniform Combined State Law Examination
    1997-12-04
Other Names
  • James Earl Pence
  • James E (Jr) Pence
  • James Earl Pence
  • James Earl Pence Ii

View on SEC IAPD

Nearby Firms

AMERIPRISE FINANCIAL SERVICES, LLC
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
LPL FINANCIAL LLC

Nearby Investors

John David Robinson
Aiden Kotaro Jones
ADAM HARRY CARSON

Nearby Offices

AMERIPRISE FINANCIAL SERVICES, LLC · NORMAN, OK
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC · NORMAN, OK
LPL FINANCIAL LLC · NORMAN, OK

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