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Current Employers
Hilltop Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-08-14
  • TX RA
    APPROVED
    Since 2017-08-14

Branch Locations

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

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
OrganizationCityStateFromTo
Hilltop Securities, Inc. Dallas TX 03/2005 Present
Other Businesses

1) Securities Industry Institute - non-investment - Vice-Chair Board of Trustees--Securities Industry Institute - Start 11/20/2018 - New York, NY 10271 - 40 hrs per year during business hrs - 20 hrs per year during non-business hrs - No conflicts of interest. 2) SIFMA SII - non-investment - New York, NY - Securities Industry Organization - Board of Trustees for SII at Wharton - Started 03/04/2019 - 90 Hrs/Year - 80 Hrs/Year during business hours. 3) SIFMA - Investment Related - New York, NY - Trade Association for Broker-Dealers, Investment Banks and Asset Managers - Chairperson of the Clearing Firm Committee - Started 5/8/2019 - 5 Hrs/Year during business hours, 1 Hr/Yr during non-business hours - Responsibilities include setting meeting agendas and presiding over meetings for the committee.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-08-14
S63 Uniform Securities Agent State Law Examination 1996-08-21
  • S66 Uniform Combined State Law Examination
    2017-08-14
  • S63 Uniform Securities Agent State Law Examination
    1996-08-21
Other Names
  • Lana Gail Giaudrone
  • Lana Gail Giaudrone

View on SEC IAPD

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