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