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