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.

AdvisorFromToTypeLeftRegistered
Janelle Marie SkeltonHilltop Securities Inc. BD affiliatedVista Investment Partners LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 16, 2021Jul 21, 2021
Alyosha Richard MertensHilltop Securities Inc. BD affiliatedVista Investment Partners LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 16, 2021Jul 21, 2021
James Michael MorenoHilltop Securities Inc. BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherJul 16, 2021Feb 23, 2022 (222 d)
Matthew Arjeh WollmannHilltop Securities Inc. BD affiliatedWedbush Securities Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 16, 2021Jun 9, 2021
Samuel Clifford MunhollonHilltop Securities Inc. BD affiliatedVista Investment Partners LLC independent RIAAffiliated broker-dealer or bank to independent RIAJul 16, 2021Jul 16, 2021
Jerry Dee SirkelHilltop Securities Inc. BD affiliatedMomentum Independent Network Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJul 7, 2021Jun 25, 2021
Jennifer Lee HuberHilltop Securities Inc. BD affiliatedMomentum Independent Network Inc. otherOtherApr 30, 2021Jul 5, 2016
Christopher Vaughn MccampbellHilltop Securities Inc. BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherApr 15, 2021Mar 31, 2021
Jeffrey Garland KeeneHilltop Securities Inc. BD affiliatedMomentum Independent Network Inc. BD affiliatedAffiliated broker-dealer or bank to anotherApr 12, 2021May 13, 2020
Maria KingHilltop Securities Inc. BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherJan 26, 2021Feb 1, 2021
Diane Tyll BinfordHilltop Securities Inc. BD affiliatedMomentum Independent Network Inc. BD affiliatedAffiliated broker-dealer or bank to anotherJan 4, 2021Jun 15, 2020
Leigh Ann Jeter StanfordHilltop Securities Inc. BD affiliatedGolden State Wealth Management, LLC independent RIAAffiliated broker-dealer or bank to independent RIASep 25, 2020Sep 29, 2020
Yichuan LiHilltop Securities Inc. BD affiliatedCitigroup Global Markets Inc. BD affiliatedAffiliated broker-dealer or bank to anotherAug 26, 2020Aug 25, 2020
Jonathan Scott RogersHilltop Securities Inc. BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherJul 17, 2020Aug 14, 2020
William Allen BartonHilltop Securities Inc. BD affiliatedMomentum Independent Network Inc. otherOtherJun 10, 2020Jan 9, 2017
Walter Roland ValenzuelaHilltop Securities Inc. BD affiliatedKestra Private Wealth Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 27, 2020Apr 29, 2020
William SwannerHilltop Securities Inc. BD affiliatedKestra Private Wealth Services, LLC BD affiliatedAffiliated broker-dealer or bank to anotherMay 27, 2020Apr 29, 2020
Craig Douglas MunsonHilltop Securities Inc. BD affiliatedWaddell & Reed BD affiliatedAffiliated broker-dealer or bank to anotherApr 3, 2020Mar 6, 2020
David GeschkeHilltop Securities Inc. BD affiliatedMomentum Independent Network Inc. otherOtherDec 23, 2019May 1, 2015
Michael RoseHilltop Securities Inc. BD affiliatedEdward Jones national BDAffiliated broker-dealer or bank to anotherDec 20, 2019Jan 2, 2020
Lisa A FasseHilltop Securities Inc. BD affiliatedMorgan Stanley wirehouseAffiliated broker-dealer or bank to wirehouseNov 14, 2019Nov 14, 2019
Feriba MonisHilltop Securities Inc. BD affiliatedU.S. Bancorp Investments, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherNov 5, 2019Dec 2, 2022 (1123 d)
Craig Dennis PasiniHilltop Securities Inc. BD affiliatedWells Fargo Advisors wirehouseAffiliated broker-dealer or bank to wirehouseOct 25, 2019Sep 26, 2019
Patrick Michael SweeneyHilltop Securities Inc. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseJul 24, 2019Nov 13, 2019 (112 d)
Carolyn Elizabeth Stewart HotraHilltop Securities Inc. BD affiliatedRaymond James & Associates, Inc. national BDAffiliated broker-dealer or bank to anotherJul 1, 2019Oct 22, 2020 (479 d)
Mark KatzHilltop Securities Inc. BD affiliatedWestern International Securities independent RIAAffiliated broker-dealer or bank to independent RIAJun 14, 2019Jul 3, 2019
Stephen James RohdeHilltop Securities Inc. BD affiliatedAmeriprise Financial Services, LLC national BDAffiliated broker-dealer or bank to anotherMar 12, 2019Mar 8, 2019
Steven William StahlbergHilltop Securities Inc. BD affiliatedD.A. Davidson & Co. independent RIAAffiliated broker-dealer or bank to independent RIAFeb 13, 2019Jan 14, 2019
Maricelda FrancoHilltop Securities Inc. BD affiliatedMerrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAffiliated broker-dealer or bank to wirehouseFeb 8, 2019Jan 18, 2019
Tyler Paul TeterHilltop Securities Inc. BD affiliatedCharles Schwab & Co., Inc. national BDAffiliated broker-dealer or bank to anotherOct 22, 2018Nov 5, 2018
Jamey Carl GrahamHilltop Securities Inc. BD affiliatedSignal Securities, Inc. BD affiliatedAffiliated broker-dealer or bank to anotherSep 28, 2018Oct 10, 2018
Charley Alynn EubanksHilltop Securities Inc. BD affiliatedMomentum Independent Network Inc. otherOtherJul 24, 2018Jan 3, 2012
Paige RexrodeHilltop Securities Inc. BD affiliatedJ.P. Morgan Securities LLC wirehouseAffiliated broker-dealer or bank to wirehouseMay 14, 2018May 21, 2018
Robert Lincoln NashHilltop Securities Inc. otherB Riley Wealth Management otherOtherFeb 7, 2018Mar 28, 2018 (49 d)
Matthew M SikorskiHilltop Securities Inc. otherB Riley Wealth Management otherOtherJan 31, 2018Mar 6, 2018 (34 d)
Craig Thomas MooreHilltop Securities Inc. otherEdward Jones national BDOtherJan 23, 2018May 7, 2018 (104 d)
Ashlee Kaye MillerHilltop Securities Inc. otherRaymond James & Associates, Inc. national BDOtherDec 26, 2017Jul 10, 2019 (561 d)
Justin Walt ParkerHilltop Securities Inc. otherMcbee Advisors, Inc. otherOtherDec 15, 2017Nov 8, 2019 (693 d)
William Ernest StockumHilltop Securities Inc. otherRBC Capital Markets, LLC national BDOtherNov 1, 2017Oct 10, 2017
Robert Allen SmithHilltop Securities Inc. otherRBC Capital Markets, LLC national BDOtherAug 22, 2017Aug 10, 2017
Diane Jean LacinaHilltop Securities Inc. otherOppenheimer & Co. Inc. otherOtherJul 21, 2017Jul 14, 2017
Kimberly Kay MillerHilltop Securities Inc. otherMomentum Independent Network Inc. otherOtherJun 7, 2017Sep 25, 2015
Despina Vallianos MannHilltop Securities Inc. otherMorgan Stanley wirehouseOtherMay 2, 2017May 3, 2017
Jurgen Daniel SimonsHilltop Securities Inc. otherMomentum Independent Network Inc. otherOtherApr 26, 2017Jan 3, 2012
Nancy Erika MancillaHilltop Securities Inc. otherJ.P. Morgan Securities LLC wirehouseOtherApr 6, 2017Mar 23, 2018 (351 d)
Diarvonda Shicole RansomHilltop Securities Inc. otherProspera Financial Services, Inc. otherOtherFeb 11, 2016Feb 11, 2016
Yen A SchickeHilltop Securities Inc. otherEdward Jones national BDOtherOct 28, 2015Dec 1, 2015 (34 d)
Ned Murphy EmmonsHilltop Securities Inc. otherM. E. Allison & Co., Inc. independent RIAOtherOct 28, 2015Sep 28, 2015
Harvey FrankHilltop Securities Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherOct 23, 2015Sep 25, 2015
Brett David LevinsonHilltop Securities Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherOct 23, 2015Sep 28, 2015
Andrew Scott HarveyHilltop Securities Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherOct 23, 2015Sep 28, 2015
Wyatt Thomas FarmerHilltop Securities Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherOct 23, 2015Sep 28, 2015
Norman Bernard LoewensternHilltop Securities Inc. otherB Riley Wealth Management otherOtherOct 16, 2015Sep 18, 2015
Carla Renee OsbourneHilltop Securities Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherOct 12, 2015Sep 28, 2015
Rex Arvil HinshawHilltop Securities Inc. otherMomentum Independent Network Inc. otherOtherOct 7, 2015Oct 15, 2015
Rebecca Jean Earwood-GrantHilltop Securities Inc. otherB Riley Wealth Management otherOtherOct 7, 2015Sep 8, 2015
Jay Thoburn BrownHilltop Securities Inc. otherB Riley Wealth Management otherOtherOct 7, 2015Sep 8, 2015
Rolfe Robert YoungHilltop Securities Inc. otherStifel, Nicolaus & Company, Incorporated national BDOtherSep 30, 2015Aug 31, 2015
Ronnie Russell RushingHilltop Securities Inc. otherLPL Financial LLC otherOtherSep 1, 2015Aug 5, 2015
Bradley Kyle ScottHilltop Securities Inc. otherLPL Financial LLC otherOtherSep 1, 2015Aug 5, 2015
Page 2 of 5PreviousNext
243 moves match.