0000891055-21-000073.txt : 20211013 0000891055-21-000073.hdr.sgml : 20211013 20211013164933 ACCESSION NUMBER: 0000891055-21-000073 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 DESENS,SARA,ANN, 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: 211321716 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 Sara Ann Desens 4675378 N 1 0000891055 HILLTOP SECURITIES INC. 03-01-2021 N 867-00632 SUPERVISED 03-01-2021 717 N. HARWOOD STREET SUITE 3400 DALLAS TX 75201 Sara NMN Walsh Sara Ann Walsh Ms. Sarah A Desens Sara A Desens 03-2021 Hilltop Securites Inc. Dallas TX 75201 Y Y Investment Banker 04-2018 02-2021 Univ. of Rochester Rochester NY 14627 N N Cash and Debt Manger 07-2017 03-2018 Homemaker Boston MA 02101 N N Homemaker 05-2014 06-2017 Harvard University Cambridge MA 02114 N N Debt Manager 02-2014 04-2014 Unemployed Boston MA 02101 N N Unemployed 06-2009 01-2014 Janney Montgomery Scott, LLC Boston MA 02109 N Y V.P. PUBLIC FINANCE 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