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717 N. Harwood Street Suite 3400, Dallas, TX 75201 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-09-22 |
Branch Locations
5350 Poplar Ave. Suite 150, Memphis, TN 38119 • United States
6100 Fairview Rd Suite 500, Charlotte, NC 28210 • 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 |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Charlotte | NC | 03/2008 | 09/2025 |
| Hilltop Securities Inc. | Charlotte | NC | 09/2025 | Present |
1] Limit Up, Non-Investment Related, 2414 hartmill ct charlotte nc 28226, Family-Owned, Owner, 01/14/2026 Start Date, 0hrs/mo non-business, 0hrs/mo trading hours, company created for use once retired to process small customer commissions trading. 2] fill or kill llc, Non-Investment Related, 2414 hartmill ct charlotte nc 28226, Family-Owned/Private Company, Owner, 01/14/2026 Start Date, 0hrs/mo non-business, 0hrs/mo trading hours, company created for use once retired to provide futures or options consulting.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-01-20 |
| S63 | Uniform Securities Agent State Law Examination | 1989-03-06 |
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