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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NV | RA | APPROVED | 2025-05-06 |
| CO | RA | APPROVED | 2023-06-22 |
| CT | RA | APPROVED | 2023-06-22 |
| VA | RA | APPROVED | 2023-06-22 |
| FL | RA | APPROVED | 2022-12-01 |
| LA | RA | APPROVED | 2022-10-25 |
| TX | RA | APPROVED_RES | 2022-07-18 |
| UT | RA | APPROVED | 2022-07-18 |
| CA | RA | APPROVED | 2022-07-15 |
Branch Locations
15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403 • United States
Park City, UT • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Oppenheimer & Co. Inc. | Los Angeles | CA | 04/2003 | 07/2022 |
| Hilltop Securities | Dallas | TX | 07/2022 | Present |
G & M Ventures; Non-investment related; Los Angeles, CA; Real estate holding company; Partner; Started March 2, 2018; 3 hrs/mo; zero hrs/mo during business hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-10-24 |
| S63 | Uniform Securities Agent State Law Examination | 1992-07-01 |
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