0000891055-20-000046.txt : 20201014
0000891055-20-000046.hdr.sgml : 20201014
20201014172155
ACCESSION NUMBER: 0000891055-20-000046
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
EVANS,WILLIAM,M,JR
FILED AS OF DATE: 20201013
DATE AS OF CHANGE: 20201014
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: 201239660
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
William
M
Evans
Jr
4724025
N
1
0000891055
HILLTOP SECURITIES INC.
03-20-2020
N
867-00632
LOCATED
03-20-2020
1201 ELM ST
SUITE 3500
DALLAS
TX
75270-2180
William
NMN
Evans
William
M
Evans
03-2020
Hilltop Securities Inc.
Dallas
TX
75270
Y
Y
HD, Head of Municipal Underwriting
04-2012
03-2020
Loop Capital Markets LLC
New York
NY
10005
Y
Y
SVP - UNDERWRITING
04-2011
04-2012
Mogan Stanley & CO. LLC
New York
NY
10036
Y
Y
GLOBAL CAPITAL MARKETS GROUP
06-2009
04-2011
Morgan Stanley Smith Barney
Purchase
NY
10577
Y
Y
GLOBAL CAPITAL MARKETS GROUP
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
10-13-2020
Mike Cogliano
Chief Compliance Officer