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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2023-09-28 |
| FL | RA | APPROVED | 2023-08-03 |
| ID | RA | APPROVED | 2023-06-23 |
| IL | RA | APPROVED | 2023-06-23 |
| VA | RA | APPROVED | 2023-06-02 |
| WI | RA | APPROVED | 2023-06-02 |
| OR | RA | APPROVED | 2023-01-26 |
| CO | RA | APPROVED | 2022-06-09 |
| MA | RA | APPROVED | 2019-03-13 |
| AZ | RA | APPROVED | 2019-02-26 |
| DC | RA | APPROVED | 2013-10-30 |
| NV | RA | APPROVED | 2013-07-24 |
| NJ | RA | APPROVED | 2013-06-07 |
| CA | RA | APPROVED | 2013-05-13 |
Branch Locations
50 California Street Suite 2650, San Francisco, CA 94111 • 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. | Las Vegas | NV | 05/2013 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-22 |
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