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Current Employers
Hilltop Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2022-11-30
WI RA APPROVED 2022-08-02
MI RA APPROVED 2017-03-24
NV RA APPROVED 2011-06-10
CA RA APPROVED 2008-11-12
  • GA RA
    APPROVED
    Since 2022-11-30
  • WI RA
    APPROVED
    Since 2022-08-02
  • MI RA
    APPROVED
    Since 2017-03-24
  • NV RA
    APPROVED
    Since 2011-06-10
  • CA RA
    APPROVED
    Since 2008-11-12

Branch Locations

Heber City, UT • United States

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

Disclosures

3 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Hilltop Securities Inc San Francisco CA 07/2001 02/2024
Hilltop Securities Inc. Heber City UT 04/2022 Present
Previous Registrations
  • 2004-08-23 → 2008-12-22
    M.L. Stern & Co., Llc.
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-04-23
  • S63 Uniform Securities Agent State Law Examination
    1984-04-23

View on SEC IAPD

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