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Hilltop Securities Asset Management, LLC CRD 110760
$37.7B regulatory AUM 60 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VA | RA | APPROVED | 2025-06-11 |
| FL | RA | APPROVED | 2024-08-19 |
| CA | RA | APPROVED | 2023-01-04 |
| ME | RA | APPROVED | 2023-01-04 |
| TX | RA | APPROVED | 2023-01-04 |
Branch Locations
717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hilltop Securities Inc. | Dallas | TX | 01/2016 | Present |
| Hilltop Securities Asset Management, Llc | Dallas | TX | 01/2022 | Present |
1] PEB TRUST; INVESTMENT RELATED, DALLAS TX, BOARD MEMBER/TRUSTEE REPRESENTATIVE, 2/7/2024, 0 HRS/MONTH NON-BUSINESS, 2 HRS/QUARTER, SERVE AS A HTS BOARD MEMBER/TRUSTEE REPRESENTATIVE ON THE PEB TRUST GOVERNING BOARD OF TRUSTEES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 2004-06-25 |
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