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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 |
|---|---|---|---|
| SC | RA | APPROVED | 2025-03-18 |
| WA | RA | APPROVED | 2025-03-13 |
| OR | RA | APPROVED | 2024-07-20 |
| OH | RA | APPROVED | 2023-08-14 |
| AR | RA | APPROVED | 2023-07-18 |
| NV | RA | APPROVED | 2023-06-27 |
| UT | RA | APPROVED | 2023-06-22 |
| AZ | RA | APPROVED | 2022-05-03 |
| NY | RA | APPROVED | 2022-04-19 |
| CO | RA | APPROVED | 2022-04-18 |
| CA | RA | APPROVED | 2022-03-22 |
| TX | RA | APPROVED | 2022-03-21 |
Branch Locations
15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| D.A. Davidson & Co. | Los Angeles | CA | 11/2013 | 03/2022 |
| Hilltop Securities Inc. | Dallas | TX | 03/2022 | Present |
1) KATYERIN PHOTOGRAPHY; NON-INVESTMENT RELATED; NEWPORT BEACH, CA 92663; BEGINNING 1/1/2013; OWNER/PHOTOGRAPHER; APPROX. 4 HRS PER/MO DEVOTED TO THIS ACTIVITY; NO TIME DURING MARKET TRADING HOURS; PHOTOGRAPHER FOR HIRE FOR WEDDINGS, AND OTHER EVENTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-01-12 |
| S63 | Uniform Securities Agent State Law Examination | 2005-08-18 |
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