0000891055-17-000010.txt : 20170331 0000891055-17-000010.hdr.sgml : 20170331 20170331145722 ACCESSION NUMBER: 0000891055-17-000010 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: 17729895 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 Megan Laura Slattery 005549591 N 1 0000891055 HILLTOP SECURITIES INC. 01-22-2016 N 867-00632 SUPERVISED 01-22-2016 1201 ELM ST SUITE 3500 DALLAS TX 75270-2180 01-2016 Hilltop Securities Inc. Dallas TX 75270 Y Y Institutional Sales Assistant 12-2012 01-2016 First Southwest Company Dallas TX 75270 Y Y Institutional Sales Assistant 07-2012 11-2012 BBVA Compass Birmingham AL 35005 N N Associate 05-2012 06-2012 Unemployed Houston TX 77057 N N Unemployed 12-2011 05-2012 Texas A & M College Station TX 77845 N N Student 06-2010 11-2011 First Southwest Company Dallas TX 75270 Y Y Intern 09-2009 11-2011 Texas A & M College Station TX 77845 N N Student 06-2009 08-2009 First Southwest Company Dallas TX 75270 Y Y Intern 08-2008 05-2009 Texas A & M College Station TX 77845 N N Student 06-2008 08-2008 First Southwest Company Dallas TX 75270 Y Y Interm 06-2004 06-2008 Hebron High School Carrollton TX 75006 N N Student 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