0000891055-22-000085.txt : 20221129
0000891055-22-000085.hdr.sgml : 20221129
20221129160703
ACCESSION NUMBER: 0000891055-22-000085
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
PELLICCI,JOHN,FERRO,
FILED AS OF DATE: 20221129
DATE AS OF CHANGE: 20221129
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: 221432852
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
John
Ferro
Pellicci
1544436
N
1
0000891055
HILLTOP SECURITIES INC.
08-16-2021
N
867-00632
LOCATED
08-16-2021
30 7TH STREET EAST
SUITE 260
ST PAUL
MN
55101
08-2021
HILLTOP SECURITIES INC.
DALLAS
TX
75201
Y
Y
SENIOR MANAGING DIRECTOR
04-1986
05-2021
PIPER SANDLER
MINNEAPOLIS
MN
55402
Y
Y
MANAGING DIRECTOR
Y
11-1993
PELLICCI ACE HARDWARE
3560 213TH STREET
FARMINGTON
MN
55402
N
N
RETAIL
SHAREHOLDER
2
OVERSIGHT AND GENERAL INPUT
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
11-29-2022
REGINA SIMS
COMPLIANCE OFFICER