0000891055-17-000009.txt : 20170331
0000891055-17-000009.hdr.sgml : 20170331
20170331145644
ACCESSION NUMBER: 0000891055-17-000009
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20170328
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: 17729889
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
William
George
Vogelpohl
002423294
N
1
0000891055
HILLTOP SECURITIES INC.
01-22-2016
N
867-00632
SUPERVISED
08-05-2016
1201 ELM ST
SUITE 3500
DALLAS
TX
75270-2180
Bill
NMN
Vogelpohl
01-2016
Hilltop Securities Inc.
Dallas
TX
75270
Y
Y
MD, Municipals
06-2011
01-2016
First Southwest Company
Dallas
TX
75270
Y
Y
Senior Vice President
03-2008
06-2011
RBC Capital Markets Corporation
Denver
CO
80220
Y
Y
Product Manager
09-1993
03-2008
Dain Rauscher Inc.
Dallas
TX
75270
Y
Y
Representative
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
03-28-2017
Kimberly Miller
Compliance Manager