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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2026-08-27 |
| WA | RA | APPROVED | 2023-06-21 |
| CO | RA | APPROVED | 2020-02-20 |
| CA | RA | APPROVED | 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
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. | Dallas | TX | 10/2014 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1994-04-22 |
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