0000891055-23-000022.txt : 20230131
0000891055-23-000022.hdr.sgml : 20230131
20230131133543
ACCESSION NUMBER: 0000891055-23-000022
CONFORMED SUBMISSION TYPE: MA-I/A
PUBLIC DOCUMENT COUNT: 1
MURILLO COMPEAN,AMERICA,JAZMIN,
FILED AS OF DATE: 20230130
DATE AS OF CHANGE: 20230131
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 868-03035
FILM NUMBER: 23571562
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/A
1
primary_doc.xml
MA-I/A
0000891055
XXXXXXXX
Karee Wedden
214-859-9324
KAREE.WEDDEN@HILLTOPSECURITIES.COM
Regina.sims@hilltopsecurities.com
N
0000891055-22-000056
N
America
Jazmin
Murillo Compean
7053870
N
1
0000891055
HILLTOP SECURITIES INC.
Southwest Securities. Inc.
06-27-2022
N
867-00632
SUPERVISED
06-27-2022
717 N. HARWOOD STREET
SUITE 3400
DALLAS
TX
75201
LOCATED
06-27-2022
8055 East Tufts Avenue
Suite 500
Denver
CO
80237
05-2021
BNY Mellon Pershing
Greenwood Village
CO
80111
N
Y
Vice President
12-2019
05-2021
Piper Sandler
Denver
CO
80014
N
Y
Investment Banking Analyst
07-2019
09-2019
George K. Baum & Company
Kansas City,
MO
64030
N
Y
Continuing Disclosure Analyst
12-2018
07-2019
George K. Baum & Company
Kansas City
MO
64030
N
Y
Pending - Continuing Disclosure Analys
02-2017
11-2018
S&P Global Ratings
Centennial
CO
64030
N
Y
Rating Analyst Uspf
01-2015
02-2017
S&P Global Ratings
Dallas
TX
75201
N
Y
Ratings Support Specialist
08-2013
12-2014
Texas Conference of SDA
Alvarad0
TX
76009
N
N
Statistical Data Specialist
06-2010
07-2013
360 Catering
Keene
TX
03431
N
N
Wait Staff
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
01-30-2023
Regina Sims
Compliance Officer