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Vince Anthony Caruana

Hilltop Securities Inc.

Roseville, CA

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Current Employers
Hilltop Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AK RA APPROVED 2026-06-02
PA RA APPROVED 2024-12-26
WA RA APPROVED 2024-08-13
MN RA APPROVED 2023-12-01
WI RA APPROVED 2023-08-28
TX RA APPROVED 2022-09-29
CA RA APPROVED 2021-04-12
  • AK RA
    APPROVED
    Since 2026-06-02
  • PA RA
    APPROVED
    Since 2024-12-26
  • WA RA
    APPROVED
    Since 2024-08-13
  • MN RA
    APPROVED
    Since 2023-12-01
  • WI RA
    APPROVED
    Since 2023-08-28
  • TX RA
    APPROVED
    Since 2022-09-29
  • CA RA
    APPROVED
    Since 2021-04-12

Branch Locations

3400 Douglas Blvd. Suite 100, Roseville, CA 95661 • 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. Dallas TX 07/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-11
  • S66 Uniform Combined State Law Examination
    2021-04-11
Other Names
  • Vince Caruana
  • Vince Anthony Caruana

View on SEC IAPD

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Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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