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HILLTOP SECURITIES INC.

DALLAS, TX · CRD 6220 · IAPD ↗ · advisors.hilltopsecurities.com · 214-953-4000

$2.51BRegulatory AUM
92Advisory reps
92Employees
0Clients
26-50Planning clients
0Private funds
51States
94Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
April 2025 — HILLTOP SECURITIES INC. shrank from 113 to 91 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
55
April 2025 — HILLTOP SECURITIES INC. added office(s): 17 -> 19 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
September 2024 — HILLTOP SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 3 (91 -> 94).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
June 2024 — HILLTOP SECURITIES INC.'s Item 11 disclosure-reporting entries rose by 1 (90 -> 91).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — HILLTOP SECURITIES INC. added office(s): 16 -> 17 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2024 — HILLTOP SECURITIES INC. reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.