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Hilltop Securities Inc. CRD 6220
$2.51B regulatory AUM
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 | 2026-06-03 |
| SD | RA | APPROVED | 2025-09-22 |
| AZ | RA | APPROVED | 2024-06-19 |
| NM | RA | APPROVED | 2023-09-22 |
| MT | RA | APPROVED | 2023-06-26 |
| WI | RA | APPROVED | 2022-06-23 |
| RI | RA | APPROVED | 2021-04-07 |
| NV | RA | APPROVED | 2020-03-05 |
| OR | RA | APPROVED | 2016-04-08 |
| ID | RA | APPROVED | 2013-04-09 |
| MI | RA | APPROVED | 2011-11-10 |
| CA | RA | APPROVED | 2009-03-10 |
Branch Locations
15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403 • United States
Reno, NV • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hilltop Securities Inc. | San Francisco | CA | 12/2008 | 04/2017 |
| Hilltop Securities Inc. | Beverly Hills | CA | 04/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2009-02-26 |
| S63 | Uniform Securities Agent State Law Examination | 2008-11-17 |
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