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