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Current Employers
Hilltop Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2025-02-20
UT RA APPROVED 2023-06-22
CA RA APPROVED 2014-04-15
  • OR RA
    APPROVED
    Since 2025-02-20
  • UT RA
    APPROVED
    Since 2023-06-22
  • CA RA
    APPROVED
    Since 2014-04-15

Branch Locations

15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • 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 01/2006 Present
Other Businesses

1] IHSS STATE OF CALIFORNIA, Non-Investment Related, 2707 S Grand Ave, Los Angeles, CA 90007, Non-Profit, IHSS provider, Employee, 100 hrs/mo non-business, 0 hrs/mo trading hrs, I provide part-time in-home respite care for my special needs daughter (autism) and get compensated by the State of CA.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-04-10
S63 Uniform Securities Agent State Law Examination 2007-05-15
  • S65 Uniform Investment Adviser Law Examination
    2014-04-10
  • S63 Uniform Securities Agent State Law Examination
    2007-05-15
Other Names
  • Good D Christopher

View on SEC IAPD

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