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James Anthony Ruberto

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
MD RA APPROVED 2025-02-18
CT RA APPROVED 2025-01-02
IL RA APPROVED 2024-11-21
MA RA APPROVED 2024-09-16
FL RA APPROVED 2024-09-06
CA RA APPROVED 2024-09-05
TX RA APPROVED 2024-08-29
  • MD RA
    APPROVED
    Since 2025-02-18
  • CT RA
    APPROVED
    Since 2025-01-02
  • IL RA
    APPROVED
    Since 2024-11-21
  • MA RA
    APPROVED
    Since 2024-09-16
  • FL RA
    APPROVED
    Since 2024-09-06
  • CA RA
    APPROVED
    Since 2024-09-05
  • TX RA
    APPROVED
    Since 2024-08-29

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
Robert W. Baird Milwaukee WI 05/2011 07/2024
Hilltop Securities Inc. Dallas TX 07/2024 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-27
S63 Uniform Securities Agent State Law Examination 1998-09-21
  • S66 Uniform Combined State Law Examination
    2024-08-27
  • S63 Uniform Securities Agent State Law Examination
    1998-09-21

View on SEC IAPD

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