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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Carl Tracy | 1536069 | 1 | 07/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Brett Howard | 1052510 | 8 | 05/19/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Lee Gershon | 2243116 | 5 | 03/16/2011 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffry Alan Mullins | 2726351 | 2 | 08/17/2009 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Todd Glasman | 1170033 | 20 | 05/16/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William Barry Temple | 2357830 | 2 | 06/25/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy Earl Nelson | 1704486 | 1 | 09/23/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Stone Feild | 815098 | 2 | 04/01/1982 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Frenkel | 727924 | 2 | 08/20/1981 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Hardie Jones | 261337 | 1 | 06/20/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |