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