MA/A
0000891055
XXXXXXXX
Ray Huie
214-859-1721
ray.huie@hilltopsecurities.com
mike.cogliano@hilltopsecurities.com
blake.morris@hilltopsecurities.com
ray.huie@hilltopsecurities.com
brett.weaver@hilltopsecurities.com
HILLTOP SECURITIES INC.
6220
Southwest Securities Inc.
SOUTHWEST SECURITIES, INC.
75-1382137
866-00617
867-00632
008-45123
6220
801-55529
6220
National Futures Association
0086118
1201 ELM ST
SUITE 3500
DALLAS
TX
75270-2180
214-859-6687
214-859-9328
Add
2398 East Camelback Road
Suite 340
Phoenix
AZ
85016
602-224-7100
602-956-2033
Add
54 Canal Street
Suite 320
Boston
MA
02114
617-619-4400
617-619-4411
Add
485 Madison Ave
Suite 1800
New York
NY
10022
212-642-4350
212-642-4357
Add
777 Main Street
Suite 1200
Fort Worth
TX
76102
817-332-9710
817-336-5572
Add
450 S. Orange Ave.
Suite 460
Orlando
FL
32801
407-426-9611
407-426-7835
N
www.hilltopsecurities.com
Michael
Anthony
Cogliano
Chief Compliance Officer
1201 Elm Street
Suite 3500
Dallas
TX
75270
214-859-6687
214-859-9328
blake.morris@hilltopsecurities.com
Brett
Michael
Weaver
Compliance Officer
1201 Elm Street
Suite 3500
Dallas
TX
75270
214-953-8883
214-859-9328
brett.weaver@hilltopsecurities.com
Add
Charles Schwab Compliance Solutions
4853 Town Center Parkway
Jackson
FL
32243
000-000-0000
SOUTHWEST SECURITIES MAINTAINS A SUBSCRIPTION AGREEMENT WITH AND UTILIZES CHARLES SCHWAB'S COMPLIANCE 11 PLATFORM FOR THE PURPOSE OF RECEIVING IN AND REVIEWING EMPLOYEE OUTSIDE ACCOUNT TRADING. EMPLOYEE TRADE DETAIL AS WELL AS THE COMPLIANCE REVIEWS CONDUC
Add
Iron Mountain
745 Atlantic Ave
Boston
MA
02111
000-000-0000
SOUTHWEST SECURITIES UTILIZES IRON MOUNTAIN FOR THE PURPOSE OF STORING GENERAL BUSINESS RECORDS THAT ARE ELIGIBLE FOR STORAGE OFF-SITE.
Add
Thomson Reuters Accelus (Complinet)
3900 Essex
Suite 900
Houston
TX
77027
000-000-0000
SOUTHWEST SECURITIES UTILIZES THOMSON REUTERS COMPLINET SYSTEM TO PUBLISH, UPDATE AND STORE THE FIRM'S WRITTEN SUPERVISORY PROCEDURES.
Add
Emerald Connect
15050 Avenue of Science
Suite 200
San Diego
CA
92128
800-233-2834
858-592-6272
Enmerald Connect maintains and updates individual representative websites at the Firm's direction.
Add
MarketingPro, Inc
2226 N Coast Hwy #320
Newport
OR
97366
866-254-6036
MarketingPro, Inc. may maintain a portion of Firm approval records of retail communications.
Hilltop Securities Independent Network
Y
SEC
8-35475, 801-60812
Southwest Insurance Agency
Y
Texas Department of Insurance
6171
TX
SOUTHWEST FINANCIAL INSURANCE AGENCY, INC.
N
FIRST SOUTHWEST HOLDINGS, LLC
N
FSW ADVISORY SERVICES, INC.
Y
SEC
801-69739
FIRST SOUTHWEST LEASING COMPANY
N
FIRST SOUTHWEST ASSET MANAGEMENT, LLC
Y
SEC
801-40189
PLAINSCAPITAL BANK
N
December
DE
12-31-1991
N
932
141
134
1
0
600
Municipal Entities
Non-profit organizations
Corporations or other businesses
0
0
0
Public pension funds
Local government investment pools
State government investment pools
Hospitals
Colleges
Other
Municipal Utility Districts
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice Investment Of Proceeds MS
Advice ME Investments
Advice ME Other Investments
Advice Guaranteed IC
Advice Use Of MD
Advice On Selection
Brokerage Of MEI
Y
Y
Y
Y
Y
Y
Y
Y
Y
N
Broker-dealer municipal securities dealer or government securities broker or dealer
Investment Adviser
Commodity trading advisor
Insurance company or agency
Other municipal advisor
0
Y
Y
N
Y
Y
Y
N
N
N
N
Y
Y
N
N
Hilltop Holdings Inc.
0001265131
Schedule B
N
N
N
N
N
Y
N
Y
Y
Y
Y
N
Y
Y
N
Y
N
Y
Y
N
N
N
N
N
N
N
HILLTOP SECURITIES HOLDINGS, LLC
N
47-2373402
PARENT
01-01-2015
E
Y
Laura
B
Alexander
Board Director
08-01-2017
NA
Y
2900382
Joseph
Michael
Edge
Chief Financial Officer
01-01-2016
NA
Y
4326551
Michael
J
Marz
Board Director
08-01-2017
NA
Y
874062
David
K
Medanich
Board Director
08-01-2017
NA
Y
1030727
Michael
Anthony
Cogliano
Chief Compliance Officer
04-01-2010
NA
Y
2505017
Laura
NMN
Leventhal
Executive Vice President - Chief Financial Officer/Treasurer
12-01-2011
NA
Y
1175259
John
Richard
Muschalek
Board Director
03-02-2015
NA
Y
2226859
Hillel
Arnold
Feinberg
President/CEO
03-02-2015
NA
Y
205642
Michael
W
Cogliano
AML Officer
03-01-2018
NA
Y
2505017
Brian
L
Wittneben
General Counsel
03-01-2016
NA
Y
4861905
HILLTOP SECURITIES HOLDINGS, L.L.C.
HILLTOP HOLDINGS INC.
Y
84-1477939
PARENT
01-01-2015
E
N
HILLTOP SECURITIES HOLDINGS, LLC
N
47-2373402
PARENT
01-01-2015
E
Y
Laura
B
Alexander
Board Director
08-01-2017
NA
Y
2900382
Joseph
Michael
Edge
Chief Financial Officer
01-01-2016
NA
Y
4326551
Michael
J
Marz
Board Director
08-01-2017
NA
Y
874062
David
K
Medanich
Board Director
08-01-2017
NA
Y
1030727
Michael
Anthony
Cogliano
Chief Compliance Officer
04-01-2010
NA
Y
2505017
Laura
NMN
Leventhal
Executive Vice President - Chief Financial Officer/Treasurer
12-01-2011
NA
Y
1175259
John
Richard
Muschalek
Board Director
03-02-2015
NA
Y
2226859
Hillel
Arnold
Feinberg
President/CEO
03-02-2015
NA
Y
205642
Michael
W
Cogliano
AML Officer
03-01-2018
NA
Y
2505017
Brian
L
Wittneben
General Counsel
03-01-2016
NA
Y
4861905
HILLTOP SECURITIES HOLDINGS, L.L.C.
HILLTOP HOLDINGS INC.
Y
84-1477939
PARENT
01-01-2015
E
N
1
9-E2
SWS Financial Services, Inc.
Y
008-35475
SWS Financial Services, Inc.
17587
1448513
1
9-E2
9-E4
SWS Financial Services, Inc.
Y
008-35475
SWS Financial Services, Inc.
17587
1420717
1
9-E2
SWS Financial Services, Inc.
Y
008-35475
SWS Financial Services, Inc
17587
1415300
1
9-E2
SWS Financial Services, Inc.
Y
008-35475
SWS Financial Services, Inc.
17587
1356813
1
9-E2
SWS Financial Services, Inc.
Y
008-35475
SWS Financial Services, Inc.
17587
1180757
1
9-E2
SWS Financial Services, Inc.
Y
008-35475
SWS Financial Services, Inc.
17587
874524
9-E2
Southwest Securities, Inc
6220
1711690
9-E2
Southwest Securities, inc.
6220
1683746
9-E2
Southwest Securities, Inc
6220
1670666
1
9-E2
9-E4
Daniel
Roger
Leland
N
1157737
Daniel Roger Leland
1157737
1237542
9-E2
Southwest Securities, Inc.
6220
1651368
1
9-C2
Daniel
Roger
Leland
N
1157737
Daniel Roger Leland
1157737
1237888
9-E2
Southwest Securities, Inc.
6220
1634119
9-D2
9-D4
Southwest Securities, inc.
6220
1610125
9-E2
Southwest Securities, Inc.
6220
1596258
9-E2
Southwest Securities, Inc.
6220
1559909
9-E2
Southwest Securities, Inc.
6220
1554276
9-E2
Southwest Securities, Inc.
6220
1551778
9-E2
Southwest Securities, Inc.
6220
1548764
9-E2
Southwest Securities, Inc.
6220
1502892
9-C2
9-C4
Southwest Securities, Inc.
6220
1501746
9-E2
Southwest Securities, Inc.
6220
1484418
9-E2
Southwest Securities, Inc.
6220
1515123
9-E2
Southwest Securities, Inc.
6220
1412327
1
9-E1
9-E2
M.L. Stern & Co., LLC.
Y
008-25028
M.L. Stern & Co., LLC.
8327
1399197
1
9-D2
M.L. Stern & Co., LLC.
Y
008-25028
M.L. Stern & Co., LLC.
8327
1399196
1
9-D2
M.L. Stern & Co., LLC.
Y
008-25028
M.L. Stern & Co., LLC.
8327
1399195
1
9-E2
M.L. Stern & Co., LLC.
Y
008-25028
M.L. Stern & Co., LLC.
8327
1399194
1
9-E2
M.L. Stern & Co., LLC.
Y
008-25028
M.L. Stern & Co., LLC.
8327
1399193
1
9-E2
M.L. Stern & Co., LLC.
Y
008-25028
M.L. Stern & Co., LLC.
8327
1399192
1
9-E2
M.L. Stern & Co., LLC.
Y
008-25028
M.L. Stern & Co., LLC.
8327
1399191
9-E2
Southwest Securities, Inc.
6220
1399190
9-E2
Southwest Securities, Inc.
6220
1391908
9-E2
Southwest Securities, Inc.
6220
1369405
9-E2
Southwest Securities, Inc.
6220
1311653
9-E2
Southwest Securities, Inc.
6220
1305995
9-E2
Southwest Securities, Inc.
6220
1276052
1
9-F
William
Noran
Thompson
N
2632089
William Norman Thompson
2632089
1265080
1
9-D1
9-D5
James
Harrell
Ross
N
815598
James Harrell Ross
815598
84364
1
9-D2
James
Harrell
Ross
N
815598
James Harrell Ross
815598
84365
9-E2
Southwest Securities, Inc.
6220
1257908
9-E2
Southwest Securities, Inc.
6220
1237911
9-C2
9-C4
9-C5
Southwest Securities, Inc.
6220
1236936
9-E2
Southwest Securities, Inc.
6220
1180771
9-E2
Southwest Securities, Inc.
6220
1174436
9-E2
Southwest Securities, Inc.
6220
1163876
9-E2
Southwest Securities, Inc.
6220
1135146
9-E2
Southwest Securities, Inc.
6220
1098286
9-E2
Southwest Securities, Inc.
6220
1096578
9-E2
Southwest Securities, Inc.
6220
1052773
9-E2
Southwest Securities, Inc.
6220
1019547
9-E2
Southwest Securities, Inc.
6220
735988
9-E2
Southwest Securities, Inc.
6220
570678
9-D2
Southwest Securities, Inc.
6220
570659
9-E2
Southwest Securities, Inc.
6220
570598
9-E2
Southwest Securities, Inc.
6220
182419
9-D2
Southwest Securities, Inc.
6220
113221
9-E2
Southwest Securities, Inc.
6220
113219
9-E2
Southwest Securities, Inc.
6220
113218
9-E2
Southwest Securities, Inc.
6220
113217
9-D2
Southwest Securities, Inc.
6220
113216
9-E2
Southwest Securities, Inc.
6220
113215
9-E2
Southwest Securities, Inc.
6220
113214
9-E3
Southwest Securities, Inc.
6220
1729428
9-C2
HILLTOP SECURITIES INC.
6220
1864063
9-C2
HILLTOP SECURITIES INC.
6220
1864063
9-E2
HILLTOP SECURITIES INC.
6220
1884520
9-D2
HILLTOP SECURITIES INC.
6220
1887690
9-D2
HILLTOP SECURITIES INC
6220
1909750
9-E2
HILLTOP SECURITIES INC.
6220
2018060795201
9-C2
HILLTOP SECURITIES INC.
6220
3-19560
Ray P. Huie
Ray P. Huie
Compliance Manager
10-30-2019
N
Y
N
Y
N
Y
Y
Y
N
N
Y
N
Y
N
N
N
N
Y
Y
N
N