DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Scott Edward Mccaffrey

Hilltop Securities Inc.BD affiliatedDallas, Txdual registrantIAPD 3076398

Feed of 09/14/2026

Also filed as Scott Edward Mccaffrey

At current firm

3 y

since Jul 17, 2023

In the industry

28 y

since Jul 30, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Hilltop Securities Inc. BD affiliated current
since Jul 17, 2023 · Dallas, Tx
LPL Financial LLC BD affiliated
Nov 19, 2012 to Jul 18, 2023 · Dallas, Tx
Pnc Managed Account Solutions, Inc. former
Oct 26, 2010 to Oct 13, 2011 · Dallas, Tx
Wells Fargo Investments, LLC unclassified
Dec 3, 2009 to Sep 3, 2010 · Addison, Tx
Wells Fargo Advisors wirehouse
May 22, 2006 to Dec 7, 2009 · Addison, Tx
Citicorp Investment Services unclassified
Jun 24, 2004 to May 16, 2006 · Amarillo, Tx

Moves

a registration end followed by a registration begin elsewhere

LPL Financial LLC to Hilltop Securities Inc.
left Jul 18, 2023, registered Jul 17, 2023 (-1 days) · Affiliated broker-dealer or bank to another
Pnc Managed Account Solutions, Inc. to LPL Financial LLC
left Oct 13, 2011, registered Nov 19, 2012 (403 days) · Other
Wells Fargo Investments, LLC to Pnc Managed Account Solutions, Inc.
left Sep 3, 2010, registered Oct 26, 2010 (53 days) · Other
Wells Fargo Advisors to Wells Fargo Investments, LLC
left Dec 7, 2009, registered Dec 3, 2009 (-4 days) · Other
Citicorp Investment Services to Wells Fargo Advisors
left May 16, 2006, registered May 22, 2006 (6 days) · Other

Signals

Scott Edward Mccaffrey left Lpl Financial Llc for Hilltop Securities Inc. (registered 2023-07-17)
Jul 18, 2023 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address