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

Nov 1, 2004earliest registration or exam on IAPD

Years in industry

21derivedfrom the industry start date

Years at current firm

5derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

2

Exams

S66

First exam

Sep 8, 2020

First registration

Sep 9, 2020

Dual registered

yes, broker-dealer

IAPD individual key

7243668

• Occurred

  Jun 10, 2025
  Advisor departed, no destination yet

  Jerome Maurice Gaudry no longer registered at Hilltop Securities Asset Management, Llc; no later IA registration on IAPD

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9f4829ed-12a0-7e64-41bd-5b78b0fef4fa

First observed

Sep 9, 2020

Last observed

Sep 14, 2026 5 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.