Hilltop Securities inc.

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Total assets under management

$2,254,166,069

Total clients

2,209

39% high-net worth

Total advisors

of 91 employees

Firm size

Enterprise

51-2,000 advisors or $10B+ in AUM

Average clients per advisor

Average account size

$1,020,446

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers Newsletters or periodicals Educational seminars or workshops

Fee options

Fixed

Financial Planning/Consulting fixed fees charged quarterly or annually, amounts vary by service scope and complexity

Percentage

$0+: Negotiable, maximum up to 0.75% annually for Retirement Plan Services $0+: Negotiable wrap fee for Aviator/Co-Pilot Program, max fee applied to entire account value, specific rates not fully disclosed in excerpt

Commissions

Commissions earned separately by registered representatives for securities transactions, not credited toward advisory fees

Project-based

Financial Planning/Consulting hourly fees ranging from $250 to $500 per hour

Other

Account minimum: $30,000 or as accepted Fee-only: Financial Planning/Consulting fees charged hourly ($250 to $500 per hour), quarterly or annual fixed fees (amount varies by scope and complexity)

Disclosures

Felony convictions

Investment-related misdemeanors

Investment-law violations

View

Authorization suspended

View

False statement or omission

View

Investment regulation violation

View

Caused license restriction

Regulatory order

View

License denied

View

Current proceeding

View

Business activities & affiliations

Is active or affiliated with:

Insurance agent

They sell insurance products and may earn commissions on those sales.

Broker-dealer / trader

They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.

Bank

They're affiliated with a bank that may offer its own financial products and services.

Other specialized services

They may provide services such as pension consulting or municipal advisory work, typically for separate fees.

Is not active or affiliated with:

Trust company

They provide trust and estate administration services, typically for separate fees.

Fund sponsor

They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.

Accountant / CPA / tax prep

They offer tax and accounting services, typically for separate fees.

Lawyer

They provide legal services, typically billed separately.

Real estate agent

They facilitate real estate transactions and may earn commissions.

Main office location

Hilltop Securities inc.

717 N. Harwood Street, Suite 3400

Dallas TX 75201, United States

Number of offices

Forms ADV

Form ADV Part 2: Client Brochure Form ADV Part 3: Client Relationship

Quick links

LinkedIn Website 214-953-4000

Advisors at this firm

Peter N

CFP®, Series 66

Houston, TX

Hilltop Securities inc.

Lesley B

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

Paul O

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

Eugene P

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

Maclendon A

Series 66

Dallas, TX

Hilltop Securities inc.

Jonathan S

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

Vickie W

CFP®, Series 63, Series 65

Dallas, TX

Hilltop Securities inc.

Michael F

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

Diane B

Series 63, Series 66

Bastrop, TX

Hilltop Securities inc.

Jerome G

Series 66

New York, NY

Hilltop Securities inc.

Angela H

Series 66

Charlotte, NC

Hilltop Securities inc.

William P

Series 63, Series 65

Monterey, CA

Hilltop Securities inc.

William C

Series 63

Dallas, TX

Hilltop Securities inc.

Efrain B

Series 63

Sherman Oaks, CA

Hilltop Securities inc.

William C

Series 63, Series 65

Oklahoma City, OK

Hilltop Securities inc.

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