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David Kevin Nielsen

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
IN RA APPROVED 2024-01-04
NY RA APPROVED 2023-12-20
SC RA APPROVED 2023-06-22
AZ RA APPROVED 2018-09-26
MI RA APPROVED 2018-02-01
ME RA APPROVED 2017-11-29
OR RA APPROVED 2017-07-17
ID RA APPROVED 2017-05-22
NV RA APPROVED 2017-03-13
CA RA APPROVED 2008-12-10
  • IN RA
    APPROVED
    Since 2024-01-04
  • NY RA
    APPROVED
    Since 2023-12-20
  • SC RA
    APPROVED
    Since 2023-06-22
  • AZ RA
    APPROVED
    Since 2018-09-26
  • MI RA
    APPROVED
    Since 2018-02-01
  • ME RA
    APPROVED
    Since 2017-11-29
  • OR RA
    APPROVED
    Since 2017-07-17
  • ID RA
    APPROVED
    Since 2017-05-22
  • NV RA
    APPROVED
    Since 2017-03-13
  • CA RA
    APPROVED
    Since 2008-12-10

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. Sacramento CA 12/2008 Present
Previous Registrations
  • 2004-01-26 → 2008-12-19
    M.L. Stern & Co., Llc.
    Sacramento, CA
    Sacramento, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-08
S63 Uniform Securities Agent State Law Examination 1993-12-13
  • S65 Uniform Investment Adviser Law Examination
    1999-12-08
  • S63 Uniform Securities Agent State Law Examination
    1993-12-13
Other Names
  • Dave Nielsen

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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