0000891055-22-000060.txt : 20221017 0000891055-22-000060.hdr.sgml : 20221017 20221017131617 ACCESSION NUMBER: 0000891055-22-000060 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 BEST,CARMENCITA,TYLER, FILED AS OF DATE: 20221017 DATE AS OF CHANGE: 20221017 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: 221313304 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 Karee Wedden 214-859-9324 Karee.Wedden@hilltopsecurities.com Regina.sims@hilltopsecurities.com N 0000891055-19-000034 N Carmencita Tyler Best 4735818 N 1 0000891055 HILLTOP SECURITIES INC. 04-24-2019 N 867-00632 SUPERVISED 04-24-2019 1201 ELM ST SUITE 3500 DALLAS TX 75270-2180 Carmen Tler Best 04-2019 HILLTOP SECURITIES INC. Dallas TX 75270 Y Y MANAGING DIRECTOR 08-2014 04-2019 YaCari Consultants LLC Houston TX 77046 Y N President 04-2013 08-2014 Robert W Baird & Co. Houston TX 77027 Y Y Public Finance Banker 10-2012 03-2013 Raymond James Houston TX 77057 Y Y Public Finance Banker 03-2004 10-2012 Siebert Brandford Shankd & Co Houston TX 77002 Y Y Public Finance Banker 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 Y N N N Y 10-17-2022 Regina Sims Compliance Officer Finra 4735818 2158059; 2158060 6M