0000891055-17-000057.txt : 20170913 0000891055-17-000057.hdr.sgml : 20170913 20170913170011 ACCESSION NUMBER: 0000891055-17-000057 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20170913 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: 171083648 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 Mike Cogliano 214-859-6687 MIke.Cogliano@hilltopsecurities.com Mike.Cogliano@hilltopsecurities.com Renee.Chavera@hilltopsecuities.com N N Andy Kie Kuo 004932116 N 1 0000891055 HILLTOP SECURITIES INC. 08-01-2005 N 867-00632 LOCATED 08-01-2005 1201 ELM ST SUITE 3500 DALLAS TX 75270-2180 08-2005 Hilltop Securities Inc. Dallas TX 75270 Y Y Director, Investment Banker Y 03-2014 Cal Alumni Club of Dallas Dallas Dallas TX 75204 N N Cal Alumni Club of Dallas A Dallas ALumni CLud for UC Berkely 2 A Dallas ALumni CLud for UC Berkely 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 09-13-2017 Mike Colgliano Co-Chief Compliance Officer