Our Staff has compiled our research into a database of FINRA Broker Disclosures for Hilltop Securities Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Nicholas C. McMahan | 5578896 | 4 | 12/06/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Carl Tracy | 1536069 | 1 | 07/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Karl Kenneth Kalkofen | 1936304 | 1 | 08/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn McKinnon Crawford | 4243722 | 2 | 07/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shawn McKinnon Crawford | 4243722 | 2 | 07/23/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Linda Fernandez | 6084423 | 1 | 06/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tamra Lynn Enriquez | 4697632 | 1 | 03/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carmencita Tyler Best | 4735818 | 4 | 03/02/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jane Alicia Watkins | 2632086 | 1 | 01/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cindy Gail Burgess | 1957882 | 1 | 05/31/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |