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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2024-05-01 |
| IL | RA | APPROVED | 2023-06-23 |
| WA | RA | APPROVED | 2023-06-21 |
| NV | RA | APPROVED | 2023-06-14 |
| MA | RA | APPROVED | 2021-06-16 |
| GA | RA | APPROVED | 2018-10-18 |
| TX | RA | APPROVED_RES | 2018-07-17 |
| FL | RA | APPROVED | 2017-05-03 |
| CA | RA | APPROVED | 2016-07-29 |
Branch Locations
3400 Douglas Blvd. Suite 100, Roseville, CA 95661 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hilltop Securities Inc. | Dallas | TX | 07/2016 | Present |
Rental Property / Owner of Property / April 2018 / No hours during business hours / Minimal hours during non-business hours / Jaco, Costa Rica / Not investment related / No conflict of interest.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1994-09-14 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-14 |
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