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Lance Tomas Flores

Hilltop Securities Asset Management, LLC

Dallas, TX

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Current Employers
Hilltop Securities Asset Management, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-06-11
TX RA APPROVED 2024-01-31
  • FL RA
    APPROVED
    Since 2024-06-11
  • TX RA
    APPROVED
    Since 2024-01-31

Branch Locations

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
Unemployed Dallas TX 06/2016 09/2016
Axa Advisors, Llc New York City NY 09/2016 03/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Worth TX 05/2018 07/2022
Bank Of America, N.A. Fort Worth TX 05/2018 07/2022
Hilltop Securities Dallas TX 07/2022 Present
  • 06/2016 → 09/2016
    Unemployed
    Dallas, TX
  • 09/2016 → 03/2018
    Axa Advisors, Llc
    New York City, NY
  • 05/2018 → 07/2022
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Fort Worth, TX
  • 05/2018 → 07/2022
    Bank Of America, N.A.
    Fort Worth, TX
  • 07/2022 → Present
    Hilltop Securities
    Dallas, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-04
  • S66 Uniform Combined State Law Examination
    2016-10-04
Other Names
  • Lance Flores
  • Lance Tomas Flores

View on SEC IAPD

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