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