Milford Lee Stern

Current Employers

Hilltop Securities Inc.

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

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2024-09-24
CA	RA	APPROVED	2008-10-22

OH RA
APPROVED

Since 2024-09-24
CA RA
APPROVED

Since 2008-10-22

Branch Locations

15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Hilltop Securities Inc.	Dallas	TX	09/1980	Present

09/1980 → Present

Hilltop Securities Inc.

Dallas, TX

Previous Registrations

1991-01-09 → 2009-07-06

Tower Asset Management Llc

Beverly Hills, CA
2004-01-27 → 2009-04-07

M.L. Stern & Co., Llc.

Beverly Hills, CA

Beverly Hills, CA

Beverly Hills, CA

Beverly Hills, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-06-06

S63 Uniform Securities Agent State Law Examination

1984-06-06

Other Names

Mickey Stern

View on SEC IAPD

Current Employers

Hilltop Securities Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

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