0000891055-16-000111.txt : 20160127
0000891055-16-000111.hdr.sgml : 20160127
20160127142215
ACCESSION NUMBER: 0000891055-16-000111
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160125
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HILLTOP SECURITIES INC.
CENTRAL INDEX KEY: 0000891055
IRS NUMBER: 751382137
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA-I
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-03035
FILM NUMBER: 161364403
BUSINESS ADDRESS:
STREET 1: 1201 ELM ST
STREET 2: SUITE 3500
CITY: DALLAS
STATE: TX
ZIP: 75270-2180
BUSINESS PHONE: 214-859-6687
MAIL ADDRESS:
STREET 1: 1201 ELM ST
STREET 2: SUITE 3500
CITY: DALLAS
STATE: TX
ZIP: 75270-2180
FORMER COMPANY:
FORMER CONFORMED NAME: SOUTHWEST SECURITIES, INC.
DATE OF NAME CHANGE: 20151015
FORMER COMPANY:
FORMER CONFORMED NAME: HILLTOP SECURITIES INC.
DATE OF NAME CHANGE: 20151006
FORMER COMPANY:
FORMER CONFORMED NAME: SOUTHWEST SECURITIES, INC.
DATE OF NAME CHANGE: 20030217
MA-I
1
primary_doc.xml
MA-I
0000891055
XXXXXXXX
Joseph Hahm
214-953-8883
joseph.hahm@hilltopsecurities.com
complianceadministrators@firstsw.com
joseph.hahm@hilltopsecurities.com
N
N
TERRY
LEO
MAAS
000818784
N
1
0000891055
HILLTOP SECURITIES INC.
01-25-2016
N
867-00632
LOCATED
01-25-2016
1201 ELM ST
SUITE 3500
DALLAS
TX
75270-2180
01-2016
HILLTOP SECURITIES INC.
DALLAS
TX
75270
Y
Y
PUBLIC FINANCE
10-2011
01-2016
FirstSouthwest Company, LLC
DALLAS
TX
75201
Y
Y
PUBLIC FINANCE
09-2011
10-2011
STIFEL NICOLAUS AND COMPANY INC
PHOENIX
AZ
85016
Y
Y
MASS TRANSFER
05-2007
09-2011
STONE & YOUNGBERG LLC
SAN FRANCISCO
CA
94111
Y
Y
REGISTERED REPRESENTATIVE
01-2002
04-2007
RBC DAIN RAUSCHER INC
LOS ANGELES
CA
90017
Y
Y
INVESTMENT BANKER
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
01-25-2016
Joseph Hahm
Compliance Officer