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Carol Diane Garza

Momentum Independent Network Inc.

Dallas, TX

Dallas, TX

Hilltop Securities Inc.

Dallas, TX

Dallas, TX

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Current Employers
Momentum Independent Network Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-02-14
  • TX RA
    APPROVED
    Since 2025-02-14

Branch Locations

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

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

Hilltop Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2009-04-06
  • TX RA
    APPROVED
    Since 2009-04-06

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 03/2009 Present
Previous Registrations
  • 2007-01-02 → 2009-04-23
    Citigroup Global Markets Inc.
    Houston, TX
    Dallas, TX
    Dallas, TX
  • 1993-04-15 → 2003-07-08
    Morgan Stanley Dw Inc.
    Dallas, TX
Other Businesses

1)YOUNG LIVING - NON-INVESTMENT RELATED - ROWLETT, TX - ESSENTIAL OIL DISTRIBUTORSHIP - INDEPENDENT REP - 1 HR PER MNTH PER NON-BSNSS HRS - 0 HRS PER MNTH DURING BSNSS HRS - STARTED DEC 2014. 2) SO SASSY AT HEART - NON-INVESTMENT RELATED - ROWLETT, TX - MONOGRAM & CRAFT BUSINESS - OWNER - STARTED .07/2015 - 40 HRS/MO - ZERO HRS/MO DURING BUSINESS HRS 3) Color Street Nails - NON-INVESTMENT RELATED - ROWLETT, TX - a nail polish strip company - rep for Color Street Nails - started 7/20/20 - 4 HRS/MO - ZERO HRS/MO DURING BUSINESS HRS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-12-29
S63 Uniform Securities Agent State Law Examination 1983-09-15
  • S65 Uniform Investment Adviser Law Examination
    2006-12-29
  • S63 Uniform Securities Agent State Law Examination
    1983-09-15
Other Names
  • Carol Diane Hopper
  • Carol Diane Fowler
  • Carol Diane Garza
  • Carol D Garza

View on SEC IAPD

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