0000891055-23-000013.txt : 20230113 0000891055-23-000013.hdr.sgml : 20230113 20230113135907 ACCESSION NUMBER: 0000891055-23-000013 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 SHEEHY,THOMAS,JOSEPH,IV FILED AS OF DATE: 20230113 DATE AS OF CHANGE: 20230113 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: 23528318 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 N N Thomas Joseph Sheehy IV 5172006 N 1 0000891055 HILLTOP SECURITIES INC. 01-03-2023 N 867-00632 LOCATED 01-03-2023 485 MADISON AVE SUITE 1800 NEW YORK NY 10022 01-2023 HILLTOP SECURITIES NEW YORK NY 10022 Y N SENIOR VICE PRESIDENT 01-2022 01-2023 PRAGER & CO NEW YORK NY 10165 Y N VICE PRESIDENT 05-2018 01-2022 YUBA GROUP NEW YORK NY 10022 Y Y VICE PRESIDENT 09-2017 05-2018 UNEMPLOYED RIVERSIDE CT 06878 N N UNEMPLOYED 03-2016 09-2017 LOOP CAPITAL MARKETS NEW YORK NY 10005 Y Y REGISTERED REPRESENTATIVE 06-2006 03-2016 MORGAN STANLEY NEW YORK NY 10036 Y Y VICE PRESIDENT 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 01-03-2023 REGINA SIMS COMPLIANCE OFFICER