0000891055-21-000035.txt : 20210422 0000891055-21-000035.hdr.sgml : 20210422 20210422084341 ACCESSION NUMBER: 0000891055-21-000035 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 ELLIS,MARK,ANTHONY, FILED AS OF DATE: 20210421 DATE AS OF CHANGE: 20210422 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: 21843360 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 Mark Anthony Ellis 2788913 N 1 0000891055 HILLTOP SECURITIES INC. 10-01-2020 N 867-00632 LOCATED 10-01-2020 1201 ELM ST SUITE 3500 DALLAS TX 75270-2180 Ellis Anthony Mark Anthony Mark A Ellis 10-2020 Hilltop Securites Inc. Dallas TX 75270 Y Y Investment Banker 03-2009 10-2020 Jefferies & Company Inc. Los Angeles CA 90025 Y Y Managing Director 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 04-21-2021 Mike Cogliano Chief Compliance Officer