Thomas Du

Employer firm

Hilltop Securities Inc. CRD 6220

$2.51B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2021 → 02/2023
  Fidelity Investments
  Westlake, TX
• 04/2021 → 09/2021
  Waveinwater
  Austin, TX
• 03/2021 → 04/2021
  Anika Wireless
  Coppell, TX
• 08/2020 → 03/2021
  Dallas Texas Consultants
  Dallas, TX
• 05/2020 → 08/2020
  Unemployed
  Coppell, TX
• 08/2019 → 05/2020
  Student
  Waco, TX
• 06/2019 → 08/2019
  Waveinwater
  Austin, TX
• 05/2019 → 06/2019
  Blazin Asian
  Waco, TX
• 08/2018 → 05/2019
  Student
  Waco, TX
• 05/2018 → 08/2018
  Chipotle
  Lewisville, TX
• 08/2016 → 05/2018
  Student
  Waco, TX
• 03/2023 → 05/2024
  Wells Fargo Clearing Services
  Irving, TX
• 05/2024 → Present
  Hilltop Securities Inc.
  Dallas, TX

Previous Registrations

• 2023-05-17 → 2024-06-04
  Wells Fargo Clearing Services, Llc
  St. Louis, MO
  Irving, TX

Other Businesses

1] Du Construction LLC; Non-Investment Related, Prosper, TX 75078, Private/Family Owned-Construction Co, Co-Owner, Start Date 3/13/2026, 20 hrs/mo Non-Business HRS, 0 hrs/mo Trading Hrs, Administrative duties such as business filings, permit filings, and some online marketing.

Exams

• S66 Uniform Combined State Law Examination
  2022-08-25

Other Names

• Thomas H Du
• Thomas Du