Hilltop Securities Independent Network Inc.
A subsidiary of Hilltop Holdings Inc.
1201 Elm St.
Dallas, TX 75270
Year founded: 1972
Year end: June 30
In the News
September 30, 2019 - Another 17 investment advisory firms have agreed to return nearly $10 million to investors in the latest round of settlements in the Securities and Exchange Commission's crackdown on inadequate disclosure of mutual fund fees, the agency announced Monday....
January 22, 2017 - The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact INResearch@investmentnews.com. Visit InvestmentNews.com/bddata for more-complete profiles....
April 4, 2016 - Former broker David Randall Lockey was charged by the Financial Industry Regulatory Authority Inc. with profiting from the improper trading of customer accounts for almost two years. Mr. Lockey â€œengaged in unsuitable short-term trading and switching...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.
Purchase the complete set of our independent broker-dealer data and profiles in an Excel spreadsheet.
For comments or suggestions about the Adviser Center, please contact us.
Disclaimer: All data and information is the property of InvestmentNews and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews. The data may only be used for internal business use such as to develop a mailing list but the data may not be resold, republished, redistributed, sublicensed or publicly displayed on a web site without the permission of InvestmentNews. All information contained within was obtained through InvestmentNews' annual independent B-D surveys.