Vincent Humphrey

Hilltop Securities Asset Management, LLC

Claim This Profile

Current Employers

Hilltop Securities Asset Management, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-08-19

TX RA
APPROVED

Since 2026-08-19

Branch Locations

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

Organization	City	State	From	To
Vendor Resource Management Inc.	Carrollton	TX	10/2009	09/2023
Trinity River Financial	Coppell	TX	10/2023	04/2025
Hilltop Securities Inc.	Dallas	TX	06/2025	Present

10/2009 → 09/2023

Vendor Resource Management Inc.

Carrollton, TX
10/2023 → 04/2025

Trinity River Financial

Coppell, TX
06/2025 → Present

Hilltop Securities Inc.

Dallas, TX

Previous Registrations

2001-03-30 → 2003-06-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-08-18
S63	Uniform Securities Agent State Law Examination	2026-03-17

S66 Uniform Combined State Law Examination

2026-08-18
S63 Uniform Securities Agent State Law Examination

2026-03-17

View on SEC IAPD

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