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James Edward Walley

Hilltop Securities Inc.

Dallas, TX

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Current Employers
Hilltop Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-04-08
MS RA APPROVED 2024-01-23
TX RA APPROVED 2024-01-22
MT RA APPROVED 2023-11-20
FL RA APPROVED 2023-11-17
CO RA APPROVED 2023-11-16
OR RA APPROVED 2023-09-25
  • CA RA
    APPROVED
    Since 2026-04-08
  • MS RA
    APPROVED
    Since 2024-01-23
  • TX RA
    APPROVED
    Since 2024-01-22
  • MT RA
    APPROVED
    Since 2023-11-20
  • FL RA
    APPROVED
    Since 2023-11-17
  • CO RA
    APPROVED
    Since 2023-11-16
  • OR RA
    APPROVED
    Since 2023-09-25

Branch Locations

8201 Preston Rd. Suite 600, Dallas, TX 75225 • 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
J.P. Morgan Securities Llc Murphy TX 10/2012 09/2023
Hilltop Securities, Inc. Dallas TX 09/2023 Present
Previous Registrations
  • 2012-10-01 → 2023-09-09
    J.P. Morgan Securities Llc
    Garland, TX
    Wylie, TX
    Murphy, TX
    Garland, TX
  • 2012-07-25 → 2012-10-01
    Chase Investment Services Corp.
    Wylie, TX
    Garland, TX
    Murphy, TX
  • 2010-10-11 → 2012-08-01
    Morgan Stanley
    Dallas, TX
    Dallas, TX
Other Businesses

YMCA - Moody; non-investment related; Dallas, TX; Board of Management member; Started 07/2023; 4 hrs/mo; zero hrs/mo during business hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-10-08
  • S66 Uniform Combined State Law Examination
    2010-10-08
Designations
Other Names
  • James Edward Walley
  • Ed Walley

View on SEC IAPD

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7TH HARVEST INVESTMENTS · DALLAS, TX
ADVISOR RESOURCE COUNCIL · Dallas, TX
PRIME SENTRY WEALTH MANAGEMENT LLC · ADDISON, TX
OPENAIR FINANCIAL, LLC · Dallas, TX
GENEOS WEALTH MANAGEMENT, INC. · Addison, TX
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Addison, TX
KESTRA ADVISORY SERVICES, LLC · ADDISON, TX

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