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

Sep 1, 1980earliest registration or exam on IAPD

Years in industry

46derivedfrom the industry start date

Years at current firm

17derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63

First exam

Jun 6, 1984

First registration

Jan 9, 1991

Dual registered

yes, broker-dealer

Other names

Mickey Stern

IAPD individual key

501622

Graph

RIA / Wealth Management

Canonical id

dfx:ria:8ab65ee3-3f6a-1605-0d81-38bdf03c6f0e

First observed

Jan 9, 1991

Last observed

Sep 17, 2026 4 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.