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Current Employers
Hilltop Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-08-27
WA RA APPROVED 2023-06-21
CO RA APPROVED 2020-02-20
CA RA APPROVED 2008-10-21
  • NY RA
    APPROVED
    Since 2026-08-27
  • WA RA
    APPROVED
    Since 2023-06-21
  • CO RA
    APPROVED
    Since 2020-02-20
  • CA RA
    APPROVED
    Since 2008-10-21

Branch Locations

15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403 • United States

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

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Hilltop Securities Inc. Dallas TX 10/2014 Present
Previous Registrations
  • 2003-02-07 → 2009-01-21
    M.L. Stern & Co., Llc.
    Beverly Hills, CA
    Beverly Hills, CA
    Beverly Hills, CA
Other Businesses

1) Senior Concerns - Not Investment Related - Thousand Oaks, CA - Non-Profit organization serving senior citizens and respective families - Board Member - Since 8/23/2018 - 1-2 hours/mo during business hours - 2-3 hours/mo during non-business hours - Will volunteer and participate in board meetings

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-04-22
  • S63 Uniform Securities Agent State Law Examination
    1994-04-22

View on SEC IAPD

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