0000891055-16-000107.txt : 20160127 0000891055-16-000107.hdr.sgml : 20160127 20160127142242 ACCESSION NUMBER: 0000891055-16-000107 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160125 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: 161364411 BUSINESS ADDRESS: STREET 1: 1201 ELM ST STREET 2: SUITE 3500 CITY: DALLAS STATE: TX ZIP: 75270-2180 BUSINESS PHONE: 214-859-6687 MAIL ADDRESS: STREET 1: 1201 ELM ST STREET 2: SUITE 3500 CITY: DALLAS STATE: TX ZIP: 75270-2180 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 Joseph Hahm 214-953-8883 Joseph.Hahm@hilltopsecurities.com complianceadministrators@firstsw.com Joseph.Hahm@hilltopsecurities.com N N TONY KAMTONG CHEUNG 001917305 N 1 0000891055 HILLTOP SECURITIES INC. 01-25-2016 N 867-00632 LOCATED 01-25-2016 484 MADISON AVE STE 1800 NEW YORK NY 10022 TONY K CHEUNG 01-2016 HILLTOP SECURITIES INC. DALLAS TX 75270 Y Y PUBLIC FINANCE SVP 06-2007 01-2016 FirstSouthwest Company, LLC DALLAS TX 75201 Y Y PUBLIC FINANCE SVP 11-1998 04-2007 UBS FINANCIAL SERVICES INC SEATTLE WA 98101 Y Y OFFICER, INVESTMENT BANKING 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 01-25-2016 Joseph Hahm Compliance Officer