Kirk Roy Fricke

Hilltop Securities Inc.

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Current Employers

Hilltop Securities Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-05-29

TX RA
APPROVED

Since 2025-05-29

Branch Locations

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

Organization	City	State	From	To
Fidelity Brokerage Services Llc	Lynnwood	WA	02/2013	07/2018
Hancock Whitney Bank	New Orleans	LA	07/2018	08/2022
Hancock Whitney Investment Services, Inc.	New Orleans	LA	07/2018	08/2022
Hilltop Securities Inc.	Dallas	TX	05/2025	Present
Self	Harahan	LA	09/2022	04/2025

02/2013 → 07/2018

Fidelity Brokerage Services Llc

Lynnwood, WA
07/2018 → 08/2022

Hancock Whitney Bank

New Orleans, LA
07/2018 → 08/2022

Hancock Whitney Investment Services, Inc.

New Orleans, LA
05/2025 → Present

Hilltop Securities Inc.

Dallas, TX
09/2022 → 04/2025

Self

Harahan, LA

Previous Registrations

2018-07-20 → 2022-08-23

Hancock Whitney Investment Services Inc.

New Orleans, LA
2013-03-21 → 2018-07-12

Strategic Advisers Llc

Lynnwood, WA

Tukwila, WA

Bellevue, WA

Seattle, WA
2012-10-01 → 2013-02-22

J.P. Morgan Securities Llc

Seattle, WA
2009-05-02 → 2012-10-01

Chase Investment Services Corp.

Seattle, WA
2009-04-28 → 2009-05-02

Wamu Investments, Inc.

Seattle, WA

Seattle, WA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-04-27
S63	Uniform Securities Agent State Law Examination	2004-04-17

S65 Uniform Investment Adviser Law Examination

2009-04-27
S63 Uniform Securities Agent State Law Examination

2004-04-17

Designations

View on SEC IAPD

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