0001104659-15-002620.txt : 20150115 0001104659-15-002620.hdr.sgml : 20150115 20150115160739 ACCESSION NUMBER: 0001104659-15-002620 CONFORMED SUBMISSION TYPE: 15-12G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20150115 DATE AS OF CHANGE: 20150115 EFFECTIVENESS DATE: 20150115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Hilltop Securities Holdings LLC CENTRAL INDEX KEY: 0000878520 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 752040825 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 15-12G SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 15530108 BUSINESS ADDRESS: STREET 1: SUITE 3500 STREET 2: 1201 ELM STREET CITY: DALLAS STATE: TX ZIP: 75270 BUSINESS PHONE: 2146511800 MAIL ADDRESS: STREET 1: SUITE 3500 STREET 2: 1201 ELM STREET CITY: DALLAS STATE: TX ZIP: 75270 FORMER COMPANY: FORMER CONFORMED NAME: SWS GROUP INC DATE OF NAME CHANGE: 20021003 FORMER COMPANY: FORMER CONFORMED NAME: SOUTHWEST SECURITIES GROUP INC DATE OF NAME CHANGE: 19930328 15-12G 1 a15-2353_11512g.htm 15-12G

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 15

 

CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934.

 

Commission File Number 000-19483

 

Hilltop Securities Holdings LLC

(Exact name of registrant as specified in its charter)

 

1201 Elm Street
Suite 3500
Dallas, Texas 75270
(214) 859-1800

(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)

 

Common Stock, $0.10 par value per share

(Title of each class of securities covered by this Form)

 

None

(Titles of all other classes of securities for which a duty to file reports under section 13(a) or 15(d) remains)

 

 

Please place an X in the box(es) to designate the appropriate rule provision(s) relied upon to terminate or suspend the duty to file reports:

 

 

Rule 12g-4(a)(1)

x

 

 

 

 

 

Rule 12g-4(a)(2)

o

 

 

 

 

 

Rule 12h-3(b)(1)(i)

x

 

 

 

 

 

Rule 12h-3(b)(1)(ii)

o

 

 

 

 

 

Rule 15d-6

o

 

 

 

 

 

 

 

 

 

 

 

 

Approximate number of holders of record as of the certification or notice date: One

 

Pursuant to the requirements of the Securities Exchange Act of 1934, Hilltop Securities Holdings LLC (as successor by merger to SWS Group, Inc.) has caused this certification/notice to be signed on its behalf by the undersigned duly authorized person.

 

 

 

 

Hilltop Securities Holdings LLC

 

 

 

 

 

 

 

Date:

January 15, 2015

 

By:

/s/ Corey G. Prestidge

 

 

 

 

 

Name:

Corey G. Prestidge

 

 

 

 

 

Title:

Vice President and Secretary

 

 

Instruction: This form is required by Rules 12g-4, 12h-3 and 15d-6 of the General Rules and Regulations under the Securities Exchange Act of 1934. The registrant shall file with the Commission three copies of Form 15, one of which shall be manually signed. It may be signed by an officer of the registrant, by counsel or by any other duly authorized person. The name and title of the person signing the form shall be typed or printed under the signature.