0000891055-21-000079.txt : 20211013 0000891055-21-000079.hdr.sgml : 20211013 20211013164727 ACCESSION NUMBER: 0000891055-21-000079 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 LE,MICHELLE,HOANG, FILED AS OF DATE: 20211013 DATE AS OF CHANGE: 20211013 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: 211321699 BUSINESS ADDRESS: STREET 1: 717 N. HARWOOD STREET STREET 2: SUITE 3400 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-859-6687 MAIL ADDRESS: STREET 1: 717 HARWOOD STREET STREET 2: SUITE 3400 CITY: DALLAS STATE: TX ZIP: 75201 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 Mike Cogliano 214-859-6687 Mike.Cogliano@hilltopsecurities.com Renee.Chavera@hilltopsecurities.com N N Michelle Hoang Le 5096889 N 1 0000891055 HILLTOP SECURITIES INC. 08-04-2020 N 867-00632 SUPERVISED 08-04-2020 717 N. HARWOOD STREET SUITE 3400 DALLAS TX 75201 08-2020 SOUTHWEST SECURITIES, INC. DALLAS TX 75201 Y Y Investment Banker 01-2013 08-2020 BB&T SECURITIES, LLC CHARLOTTE NC 28105 N Y MUNICIPAL MARKETS ASSOCIATE 07-2012 01-2013 SCOTT & STRINGFELLO CHARLOTTE NC 28202 N Y VICE PRESIDENT-ASSOCIATE 10-2011 06-2012 RED CAPITAL MARKETS, LLC COLUMBUS OH 43004 N Y VICE PRESIDENT-ASSOCIATE 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 10-13-2021 Mike Cogliano Chief Compliance Officer