0000891055-22-000083.txt : 20221128 0000891055-22-000083.hdr.sgml : 20221128 20221128154413 ACCESSION NUMBER: 0000891055-22-000083 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 LE,HY,QUANG, FILED AS OF DATE: 20221128 DATE AS OF CHANGE: 20221128 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: 221425088 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 Tiffany Singleton 2149538728 tiffany.singleton@hilltopsecurities.com Karee.Wedden@hilltopsecurities.com Regina.Sims@hilltopsecurities.com N N Hy Quang LE 4462424 N 1 0000891055 HILLTOP SECURITIES INC. 08-16-2022 N 867-00632 SUPERVISED 08-16-2022 717 N. HARWOOD STREET SUITE 3400 DALLAS TX 75201 08-2022 HILLTOP SECURITIES DALLAS TX 75201 Y Y ANALYST 10-2021 08-2022 BASIS EDUCATIONAL GROUP SCOTTSDALE AZ 85258 N N VICE PRESIDENT 08-2012 08-2022 PIPER JAFFRAY & CO PHOENIX AZ 85016 Y Y Pfs Investment 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 N N N N N 11-28-2022 REGINA SIMS COMPLIANCE OFFICER