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