0000891055-22-000008.txt : 20220405
0000891055-22-000008.hdr.sgml : 20220405
20220405170404
ACCESSION NUMBER: 0000891055-22-000008
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
COYA,SCOTT,ANDREW,
FILED AS OF DATE: 20220405
DATE AS OF CHANGE: 20220405
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: 22807957
BUSINESS ADDRESS:
STREET 1: 717 N. HARWOOD STREET
STREET 2: SUITE 3400
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-859-1540
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
Regina Sims
2148591759
regina.sims@hilltopsecurities.com
regina.sims@hilltopsecurities.com
N
N
Scott
Andrew
Coya
2511281
Y
1
0000891055
HILLTOP SECURITIES INC.
01-10-2022
N
867-00632
LOCATED
01-10-2022
717 N. HARWOOD STREET
SUITE 3400
DALLAS
TX
75201
01-2022
Hilltop Securities
Dallas
TX
75201
Y
Y
Chief Compliance Officer
04-2019
12-2021
D.A. Davidson
Dallas
TX
75025
Y
Y
Deputy CCO
09-2017
04-2019
The Prudential Insurance Company
Newark
NJ
07102
N
Y
Compliance Officer
02-2017
08-2017
Unemployed
Upper Saddle River
NJ
074588
N
N
Unemployed
07-2010
01-2017
Barclay's Capital
New York
NY
10019
N
Y
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
04-05-2022
Ray Huie
Compliance Manager