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