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