0000891055-17-000031.txt : 20170419 0000891055-17-000031.hdr.sgml : 20170419 20170419152611 ACCESSION NUMBER: 0000891055-17-000031 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170418 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: 17769868 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 Kimberly Miller 214-859-1721 Kimberly.Miller@hilltopsecurities.com N N Joshua Aaron Freeman 005287002 N 1 0000891055 HILLTOP SECURITIES INC. 01-22-2016 N 867-00632 SUPERVISED 01-22-2016 1201 ELM ST SUITE 3500 DALLAS TX 75270-2180 12-2011 HILLTOP SECURITIES INC. Dallas TX 75270 Y Y Asst. Vice President 04-2011 12-2011 Milliman Dallas TX 75270 Y Y Analyst 01-2007 04-2011 First Southwest Company LLC Dallas TX 75270 Y Y Senior Analyst 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 04-18-2017 Kimberly Miller Compliance Manager