0000891055-21-000072.txt : 20211013
0000891055-21-000072.hdr.sgml : 20211013
20211013165000
ACCESSION NUMBER: 0000891055-21-000072
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FISHER,SEAN,DANIEL,
FILED AS OF DATE: 20211012
DATE AS OF CHANGE: 20211013
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: 211321720
BUSINESS ADDRESS:
STREET 1: 717 N. HARWOOD STREET
STREET 2: SUITE 3400
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-859-6687
MAIL ADDRESS:
STREET 1: 717 HARWOOD STREET
STREET 2: SUITE 3400
CITY: DALLAS
STATE: TX
ZIP: 75201
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
Sean
Daniel
Fisher
5843505
N
1
0000891055
HILLTOP SECURITIES INC.
08-18-2021
N
867-00632
SUPERVISED
08-18-2021
717 N. HARWOOD STREET
SUITE 3400
DALLAS
TX
75201
Sean
Daniel
Fisher
Sean
D
Fisher
08-2021
Hilltop Securites Inc.
Dallas
TX
75201
Y
Y
Investment Banker
08-2010
08-2021
Janney Montgomery Scott LLC
Philadelphia
PA
19103
Y
N
NRF
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
10-12-2021
Mike Cogliano
Chief Compliance Officer