0000891055-23-000009.txt : 20230110 0000891055-23-000009.hdr.sgml : 20230110 20230110170227 ACCESSION NUMBER: 0000891055-23-000009 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 DYMOND,MICHAEL,JAY, FILED AS OF DATE: 20230110 DATE AS OF CHANGE: 20230110 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: 23521788 BUSINESS ADDRESS: STREET 1: 717 N. HARWOOD STREET STREET 2: SUITE 3400 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-859-1540 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 TIFFANY SINGLETON 2149538728 tiffany.singleton@hilltopsecurities.com Regina.Sims@hilltopsecurities.com N N MICHAEL JAY DYMOND 6068299 N 1 0000891055 HILLTOP SECURITIES INC. 01-03-2023 N 867-00632 LOCATED SUPERVISED 01-03-2023 485 MADISON AVE SUITE 1800 NEW YORK NY 10022 01-2023 HILLTOP SECURITIES NEW YORK NY 10022 Y N ASSISTANT VICE PRESIDENT 10-2021 01-2023 PRAGER & CO NEW YORK NY 10165 Y N ASSOCIATE 07-2021 10-2021 UNEMPLOYED GLENMONT NY 12077 N N UNEMPLOYED 07-2019 07-2021 DUKE UNIVERSITY - STUDENT DURHAM NC 27708 N N FULL-TIME STUDENT 11-2017 05-2019 S&P GLOBAL NEW YORK NY 10121 N N ANALYST 07-2013 11-2017 ANALYSIS GROUP NEW YORK NY 10020 N N SENIOR ANALYST 05-2009 05-2013 UNIVERSITY OF ROCHESTER - STUDENT ROCHESTER NY 14642 N N FULL-TIME 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 01-03-2023 REGINA SIMS COMPLIANCE OFFICER