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Thomas James Faledas

Hilltop Securities Inc.

Monterey, CA

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
TX RA APPROVED 2022-12-02
AZ RA APPROVED 2013-06-13
SD RA APPROVED 2012-02-17
AL RA APPROVED 2010-12-20
WA RA APPROVED 2010-09-27
CA RA APPROVED 2008-11-20
  • TX RA
    APPROVED
    Since 2022-12-02
  • AZ RA
    APPROVED
    Since 2013-06-13
  • SD RA
    APPROVED
    Since 2012-02-17
  • AL RA
    APPROVED
    Since 2010-12-20
  • WA RA
    APPROVED
    Since 2010-09-27
  • CA RA
    APPROVED
    Since 2008-11-20

Branch Locations

24560 Silver Cloud Ct. Suite 201, Monterey, CA 93940-6555 • 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. Carmel CA 07/2002 Present
Previous Registrations
  • 2004-11-05 → 2008-12-31
    M.L. Stern & Co., Llc.
    Carmel, CA
    Carmel, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-11-04
S63 Uniform Securities Agent State Law Examination 2002-11-19
  • S65 Uniform Investment Adviser Law Examination
    2004-11-04
  • S63 Uniform Securities Agent State Law Examination
    2002-11-19

View on SEC IAPD

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