This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

HILLTOP SECURITIES INC.

Current firm class

broker-dealer affiliated wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Oct 1, 2003earliest registration or exam on IAPD

Years in industry

22derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S66

First exam

Oct 12, 2012

First registration

Oct 17, 2012

Dual registered

yes, broker-dealer

IAPD individual key

6005834

• Occurred

  Nov 7, 2025
  Advisor changed firm

  John Scott Klingensmith left Rbc Capital Markets, Llc for Hilltop Securities Inc. (registered 2025-10-31)

  Form ADVobserved 5 days ago
• Occurred

  Jul 25, 2025
  Advisor changed firm

  John Scott Klingensmith left Ubs Financial Services Inc. for Rbc Capital Markets, Llc (registered 2025-06-27)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:4faf2344-3bf4-549c-50a1-c652822c00a1

First observed

Oct 17, 2012

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.