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.
Advisor moves
Departures from Hilltop Securities Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| William Carr Stokes | Hilltop Securities Inc. BD affiliated | Frost Investment Services BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2026 | Jun 2, 2026 |
| Thomas Michael O'Connell | Hilltop Securities Inc. BD affiliated | Carnegie Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | May 22, 2026 | Apr 27, 2026 |
| Nicholas Alexander Hughes | Hilltop Securities Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 1, 2026 | Jun 4, 2026 (34 d) |
| Brice Eber-Morris | Hilltop Securities Inc. BD affiliated | Rockefeller Capital Management BD affiliated | Affiliated broker-dealer or bank to another | Feb 2, 2026 | Feb 4, 2026 |
| William Woolfolk Nelson | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. other | Other | May 15, 2025 | Aug 8, 2013 |
| John D Boyle | Hilltop Securities Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Apr 29, 2025 | Apr 7, 2025 |
| Kristie Lyn Messina | Hilltop Securities Inc. BD affiliated | Messina Wealth Management, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 29, 2025 | Feb 17, 2025 |
| Keaton Russell | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 29, 2025 | Jan 13, 2025 |
| Lawrence Jude Messina | Hilltop Securities Inc. BD affiliated | Messina Wealth Management, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jan 13, 2025 | Jan 3, 2025 |
| Christine R Pagliaro | Hilltop Securities Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Dec 20, 2024 | Jan 2, 2025 |
| Nicholas C. Mcmahan | Hilltop Securities Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 28, 2024 | Sep 23, 2024 |
| Angela Dawn Raley | Hilltop Securities Inc. BD affiliated | Bok Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 9, 2024 | Apr 8, 2024 |
| John Christian Coyle | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 27, 2024 | Feb 29, 2024 |
| Joseph Walter Turek | Hilltop Securities Inc. BD affiliated | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 18, 2024 | Apr 17, 2024 |
| Patrick Garrett Deist | Hilltop Securities Inc. BD affiliated | Oakwell Private Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 14, 2024 | Mar 25, 2024 |
| Paige Richards | Hilltop Securities Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 14, 2024 | Mar 13, 2024 |
| David Jay Pergande | Hilltop Securities Inc. BD affiliated | M Holdings Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2024 | Mar 19, 2024 |
| Jay David Angotti | Hilltop Securities Inc. BD affiliated | Kpc Financial Solutions, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 30, 2023 | Nov 17, 2023 |
| Craig A Callon | Hilltop Securities Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 30, 2023 | Dec 1, 2023 |
| Jonathan Mark Rawlings | Hilltop Securities Inc. BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2023 | Sep 21, 2023 |
| Joseph Andrew Giardano | Hilltop Securities Inc. BD affiliated | Prospera Financial Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 12, 2023 | Sep 21, 2023 |
| Adam Ran Baker | Hilltop Securities Inc. BD affiliated | Fisher Investments independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 1, 2023 | Apr 15, 2026 (957 d) |
| Jason Scott Dodson | Hilltop Securities Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2023 | Jun 13, 2023 |
| Daniel Wayne Steffes | Hilltop Securities Inc. BD affiliated | The Oak Ridge Financial Services Group, Inc BD affiliated | Affiliated broker-dealer or bank to another | Jul 5, 2023 | Jun 5, 2023 |
| James Russell Malone | Hilltop Securities Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 3, 2023 | Jun 14, 2023 |
| Michael Joseph Kane | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 13, 2023 | May 1, 2023 |
| Kristopher Bryan Field | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 27, 2023 | May 4, 2023 |
| Karen Laura Caulfield | Hilltop Securities Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2023 | Mar 27, 2023 |
| Gene Parvon Dickey | Hilltop Securities Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 22, 2023 | Mar 27, 2023 |
| Javier Jaime Cardenas | Hilltop Securities Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Apr 11, 2023 | Apr 4, 2023 |
| Tamra Lynn Enriquez | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 22, 2023 | Mar 15, 2022 |
| Thomas Brian Allred | Hilltop Securities Inc. BD affiliated | Fsw Advisory Services Inc. institutional | Other | Feb 17, 2023 | Feb 15, 2019 |
| Eric Ralph Prall | Hilltop Securities Inc. BD affiliated | Northland Asset Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 28, 2022 | Dec 8, 2022 |
| Michael Anthony Agol | Hilltop Securities Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2022 | Mar 21, 2024 (513 d) |
| Donald Terry Burrows | Hilltop Securities Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2022 | Mar 21, 2024 (520 d) |
| Clint Lane Auttonberry | Hilltop Securities Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2022 | Mar 21, 2024 (520 d) |
| Rolando Joel Villarreal | Hilltop Securities Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 18, 2022 | Mar 21, 2024 (520 d) |
| Blas Steven Catalani | Hilltop Securities Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Oct 17, 2022 | Oct 10, 2022 |
| David Campbell Smith | Hilltop Securities Inc. BD affiliated | Wedbush Securities Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2022 | Sep 1, 2022 |
| Cosimo F. Favaloro | Hilltop Securities Inc. BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 15, 2022 | Aug 30, 2022 |
| James Fremont Woodcock | Hilltop Securities Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2022 | May 24, 2022 |
| Michael Anthony Cogliano | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. other | Other | Apr 26, 2022 | Feb 1, 2007 |
| Casey Wayne Mason | Hilltop Securities Inc. BD affiliated | Texas Capital Bank Private Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 26, 2022 | Jan 31, 2023 (280 d) |
| Mark Jameson | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2022 | Oct 19, 2020 |
| Juan A Guerrero | Hilltop Securities Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2022 | Apr 5, 2022 |
| Ronnie Carrol Davis | Hilltop Securities Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 8, 2022 | Mar 28, 2022 |
| James Woodall | Hilltop Securities Inc. BD affiliated | Woodall Wealth Management unclassified | Other | Apr 8, 2022 | Mar 24, 2022 |
| Andrea Benningfield | Hilltop Securities Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Mar 21, 2022 | Mar 18, 2022 |
| Andrew Corey Fass | Hilltop Securities Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2022 | Feb 2, 2022 |
| Traci Kurtz | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Mar 4, 2019 |
| Kevin William Reilly | Hilltop Securities Inc. BD affiliated | Colliers Securities LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 16, 2022 | Feb 14, 2022 |
| John Andrew Madonna | Hilltop Securities Inc. BD affiliated | Momentum Independent Network Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2022 | Jan 5, 2022 |
| Jason Fass | Hilltop Securities Inc. BD affiliated | Avantax Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2022 | Jan 26, 2022 |
| Lacy Nicole Rogers | Hilltop Securities Inc. BD affiliated | The Dedicated Dollar state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 23, 2021 | Jan 3, 2022 |
| Sean Patrick Hegarty | Hilltop Securities Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 22, 2021 | Oct 25, 2021 |
| Thomas Warren Darilek | Hilltop Securities Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 22, 2021 | Oct 25, 2021 |
| Jennifer Ann Winters | Hilltop Securities Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2021 | Oct 25, 2021 |
| Juan Carlos Vanegas | Hilltop Securities Inc. BD affiliated | Truist Advisory Services, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 30, 2021 | Oct 19, 2021 |
| Ricardo De La Torre | Hilltop Securities Inc. BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Sep 14, 2021 | Oct 5, 2021 |
| Janelle Marie Skelton | Hilltop Securities Inc. BD affiliated | Vista Investment Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 16, 2021 | Jul 21, 2021 |
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242 moves match.