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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hilltop Securities, Inc. | Dallas | TX | 03/2005 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2017-08-14 |
| S63 | Uniform Securities Agent State Law Examination | 1996-08-21 |
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