0000891055-16-000239.txt : 20161017 0000891055-16-000239.hdr.sgml : 20161017 20161017171818 ACCESSION NUMBER: 0000891055-16-000239 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20161017 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: 161939435 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 Kimberly Miller 214-859-1721 Kimberly.Miller@hilltopsecurities.com N N Penny Renee Brooker 005754161 N 1 0000891055 HILLTOP SECURITIES INC. 01-25-2010 N 867-00632 LOCATED 01-22-2016 1201 ELM ST SUITE 3500 DALLAS TX 75270-2180 Penny Renee Ragland Penny Renee Wiginton 01-2003 Hilltop Securities Inc. Dallas TX 75270 Y Y ADMINISTRATIVE ASSISTANT 06-2008 01-2010 Homemaker Italy TX 76651 N N Homemaker 01-2006 06-2008 Self Employed Midlothian TX 76065 N N Child Care 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 10-17-2016 Kimberly Miller Compliance Manager