0000891055-22-000086.txt : 20221130 0000891055-22-000086.hdr.sgml : 20221130 20221130154755 ACCESSION NUMBER: 0000891055-22-000086 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 MITCHELL,MATTHEW,WINTHROP, FILED AS OF DATE: 20221130 DATE AS OF CHANGE: 20221130 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: 221435505 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 regina.sims@hilltopsecurities.com Karee.Wedden@hilltopsecurities.com N N Matthew Winthrop Mitchell 7640077 N 1 0000891055 HILLTOP SECURITIES INC. 09-26-2022 N 867-00632 LOCATED 09-26-2022 652 GEORGE WASHINGTON HIGHWAY SUITE 202 LINCOLN RI 02865 09-2022 HILLTOP SECURITIES INC LINCOLN RI 02865 Y N INVESTMENT BANKING ANALYST 11-2021 09-2022 SANTANDER BANK, N.A. BOSTON MA 02109 Y N VICE PRESIDENT, UNDERWRITER 07-2015 09-2021 Webster Bank, N.A. PROVIDENCE RI 02903 Y Y MUNICIPAL CREDIT ANALYST 09-2014 07-2015 BRISTOL YACHT CLUB BRISTOL RI 02809 N N STEWARD 08-2013 06-2014 JOHNSON & WALES UNIVERSITY PROVIDENCE RI 02903 N N STUDENT 05-2011 09-2013 PRIVATE FAMILY EDGARTOWN MA 02539 N N PRIVATE YACHT CAPTAIN 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 11-30-2022 REGINA SIMS COMPLIANCE OFFICER