0000891055-18-000043.txt : 20180813 0000891055-18-000043.hdr.sgml : 20180813 20180813134054 ACCESSION NUMBER: 0000891055-18-000043 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 MERRITT,CLAIRE,WHITTINGTON, FILED AS OF DATE: 20180813 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: 181011667 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 Renee.Chavera@hilltopsecurities.com N N Claire Whittington Merritt 006659201 N 1 0000891055 HILLTOP SECURITIES INC. 02-07-2017 N 867-00632 SUPERVISED 02-07-2017 1201 ELM ST SUITE 3500 DALLAS TX 75270-2180 06-2017 Hilltop Securites Inc. Dallas TX 75270 Y Y Analyst 07-2016 07-2017 UT Austin Austn TX 78712 N N Student 06-2016 07-2016 Hilltop Securities Inc. Dallas TX 75270 Y Y Intern 07-2015 06-2016 UT Austin Austin TX 78712 N N Student 06-2015 07-2015 CBRE/UCR Austin TX 78746 N N Student 07-2014 06-2015 UT Austin Austin TX 78712 N N Student 06-2014 07-2014 Allie Beth Allman & Associates Austin TX 73301 N N Intern 07-2013 06-2014 UT Austin Austin TX 78712 N N Student 06-2013 07-2013 Luke's Locker Dallas TX 75205 N N Sales 07-2012 06-2013 HPHS Dallas TX 75205 N N Student 06-2012 07-2012 Pete Sessions Washington DC 20515 N N Intern 07-2011 06-2012 HPHS Dallas TX 75205 N N Student 06-2011 07-2011 Park Cities Baptist Church Dallas TX 75225 N N Counselor 10-2006 06-2011 HPHS Dallas TX 75205 N N Student 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 08-13-2018 Mike Cogliano Chief Compliance Officer