0000891055-22-000053.txt : 20220826 0000891055-22-000053.hdr.sgml : 20220826 20220826100622 ACCESSION NUMBER: 0000891055-22-000053 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 FLORES,ESTER,NMN, FILED AS OF DATE: 20220826 DATE AS OF CHANGE: 20220826 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-03035 FILM NUMBER: 221200421 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/A 1 primary_doc.xml MA-I/A 0000891055 XXXXXXXX Regina Sims 214-859-1759 regina.sims@hilltopsecurities.com regina.sims@hilltopsecurities.com N 0000891055-21-000049 N ESTER NMN FLORES 5694878 N 1 0000891055 HILLTOP SECURITIES INC. 01-25-2016 N 867-00632 LOCATED 01-25-2016 1201 ELM ST SUITE 3500 DALLAS TX 75270-2180 01-2016 HILLTOP SECURITIES INC. DALLAS TX 75270 Y Y ASSISTANT VICE PRESIDENT 07-2009 01-2016 FIRSTSOUTHWEST COMPANY, LLC DALLAS TX 75201 Y Y ASSISTANT VICE PRESIDENT 03-2009 07-2009 BANK OF AMERICA PLANO TX 75074 N N ASSOCIATE 12-2008 03-2009 UNEMPLOYED DALLAS TX 75226 N N UNEMPLOYED 06-2008 12-2008 STEVENS FINANCIAL GROUP ADDISON TX 75001 Y Y ASSOCIATE 12-2007 06-2008 UNEMPLOYED DALLAS TX 75226 N N UNEMPLOYED 10-2005 12-2007 UNIVERSITY OF NORTH TEXAS STUDENT HEALTH & WELLNESS CENTER DENTON TX 76203 N N ASSOCIATE 05-2005 10-2005 UNEMPLOYED DENTON TX 76203 N N UNEMPLOYED 01-2005 05-2005 SITEL CORPORATION AMARILLO TX 79110 N N ASSOCIATE 12-2004 01-2005 UNEMPLOYED DENTON TX 76203 N N UNEMPLOYED Y 11-2021 Municipal Advisory Council of Texas 600 W. 8th St. Ste 800 Austin TX 78701 Y N Municipal Council Board Member 4 to assist on municipal items brought before the council 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 08-26-2022 Regina Sims Compliance Officer