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