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
Elridge Nicholas Bollich	Hilltop Securities Inc. other	Ameriprise Financial Services, LLC national BD	Other	Aug 6, 2015	Jul 10, 2015
Holly P. Peritz	Hilltop Securities Inc. other	Momentum Independent Network Inc. other	Other	Aug 4, 2015	Jan 3, 2007
Dane Eric Byers	Hilltop Securities Inc. other	Intrua Financial other	Other	Jul 31, 2015	Feb 12, 2016 (196 d)
Ronald Howard Meckler	Hilltop Securities Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Jun 26, 2015	May 29, 2015
David Andrew Nash	Hilltop Securities Inc. other	Longview Financial Advisors, LLC independent RIA	Other	Jun 15, 2015	Apr 19, 2023 (2865 d)
Irving Reyna	Hilltop Securities Inc. other	RBC Capital Markets, LLC national BD	Other	Jun 11, 2015	May 11, 2015
William Robert Brandenberger	Hilltop Securities Inc. other	RBC Capital Markets, LLC national BD	Other	Jun 5, 2015	Jun 10, 2015
Victor Joffe	Hilltop Securities Inc. other	Monex Asset Management, Inc. other	Other	May 1, 2015	Apr 7, 2015
Oscar R Flores	Hilltop Securities Inc. other	Monex Asset Management, Inc. other	Other	May 1, 2015	Apr 7, 2015
Kyle Allen Grossart	Hilltop Securities Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Apr 24, 2015	Mar 27, 2015
Mary Melissa Baker	Hilltop Securities Inc. other	Charles Schwab & Co., Inc. national BD	Other	Apr 7, 2015	May 15, 2015 (38 d)
Sheila Renee Quattlander	Hilltop Securities Inc. other	Securities America Advisors, Inc. other	Other	Mar 10, 2015	Mar 16, 2015
Benjamin Ira Bernstein	Hilltop Securities Inc. other	Ameriprise Financial Services, LLC national BD	Other	Feb 13, 2015	Jan 16, 2015
Robert Scott West	Hilltop Securities Inc. other	Raymond James Financial Services Advisors, Inc BD affiliated	Other	Jan 29, 2015	Oct 24, 2018 (1364 d)
Brian David Towner	Hilltop Securities Inc. other	Orion Portfolio Solutions, LLC other	Other	Dec 24, 2014	Jan 9, 2015
Neville Earl Richardson	Hilltop Securities Inc. other	Alpha Private Wealth Advisors LLC no RAUM	Other	Oct 27, 2014	Oct 1, 2014
David Scott Penn	Hilltop Securities Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Oct 21, 2014	Oct 13, 2014
Steven Sok Lee	Hilltop Securities Inc. other	Raymond James Financial Services Advisors, Inc other	Other	Oct 21, 2014	Oct 13, 2014
Sophia Robinson	Hilltop Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Aug 27, 2014	Sep 9, 2014
Stephen John Mchale	Hilltop Securities Inc. other	Sovereign Wealth Advisors LLC other	Other	Jul 30, 2014	Nov 15, 2017 (1204 d)
Shannon Kelly Mckeehan	Hilltop Securities Inc. other	Commonwealth Financial Network national BD	Other	Apr 8, 2014	Apr 16, 2014
Bill John Callis	Hilltop Securities Inc. other	Raymond James & Associates, Inc. national BD	Other	Dec 13, 2013	Nov 15, 2013
Adam Carter Rich	Hilltop Securities Inc. other	Momentum Independent Network Inc. other	Other	Nov 7, 2013	Jan 3, 2012
Linsi Lee Walker	Hilltop Securities Inc. other	Raymond James & Associates, Inc. national BD	Other	Oct 30, 2013	Nov 1, 2013
Kyle Takeo Nakano	Hilltop Securities Inc. other	Ameriprise Financial Services, LLC national BD	Other	Oct 21, 2013	Oct 16, 2013
George Sturdevant Wanamaker	Hilltop Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 3, 2013	Sep 30, 2013
Robert Barry Barton	Hilltop Securities Inc. other	Momentum Independent Network Inc. other	Other	Oct 3, 2013	Oct 10, 2013
Tamaris Conkleton	Hilltop Securities Inc. other	1st Global Advisors Inc other	Other	Sep 9, 2013	Sep 17, 2013
Stuart Laidlaw Brown	Hilltop Securities Inc. other	Bv Investment Partners, L.P. other	Other	Jul 24, 2013	Sep 15, 2017 (1514 d)
Tuan Manh Nguyen	Hilltop Securities Inc. other	Raymond James & Associates, Inc. national BD	Other	May 31, 2013	May 6, 2013
Nicholas X Ibanez	Hilltop Securities Inc. other	Linscomb Wealth, Inc. other	Other	May 7, 2013	Feb 6, 2018 (1736 d)
Tanya Dee Gilliam	Hilltop Securities Inc. other	Raymond James Financial Services Advisors, Inc other	Other	May 1, 2013	Sep 12, 2014 (499 d)
Matthew Paul Sullivan	Hilltop Securities Inc. other	Imus Wilkinson Investment Management, LLC other	Other	Mar 25, 2013	Aug 2, 2013 (130 d)
Michael Burns	Hilltop Securities Inc. other	Fisher Investments independent RIA	Other	Feb 26, 2013	May 11, 2020 (2631 d)
Marcellus Eugene Davis	Hilltop Securities Inc. other	Morgan Stanley wirehouse	Other	Jan 30, 2013	Jan 17, 2013
Andrew Francis Cashiola	Hilltop Securities Inc. other	Ameriprise Financial Services, LLC national BD	Other	Jan 22, 2013	Jan 22, 2013
Daniel J Robinson	Hilltop Securities Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Dec 18, 2012	Dec 6, 2012
Michael Wayne Mcguire	Hilltop Securities Inc. other	Mcguire Capital Advisors, Inc. no RAUM	Other	Nov 16, 2012	Nov 28, 2012
Monica Lashawn Payne	Hilltop Securities Inc. other	Morgan Stanley wirehouse	Other	Nov 14, 2012	Nov 23, 2012
Shawn E Lemko	Hilltop Securities Inc. other	UBS Financial Services Inc. wirehouse	Other	Nov 6, 2012	Mar 4, 2013 (118 d)
Mark Kevin Sachse	Hilltop Securities Inc. other	B Riley Wealth Management other	Other	Aug 28, 2012	Aug 24, 2012
Neil Hattem	Hilltop Securities Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Aug 27, 2012	Jul 26, 2012
Aaron Mathew Hattem	Hilltop Securities Inc. other	Stifel, Nicolaus & Company, Incorporated national BD	Other	Aug 24, 2012	Jul 26, 2012
Veronica Cadena	Hilltop Securities Inc. other	Ameriprise Financial Services, LLC national BD	Other	Jul 24, 2012	Jul 2, 2012
Anay Kumar Srivastava	Hilltop Securities Inc. other	Braymen, Lambert And Noel Securities, Ltd. unclassified	Other	Jun 29, 2012	Dec 6, 2012 (160 d)
Kristy Lynn Warmerdam	Hilltop Securities Inc. other	Charles Schwab & Co., Inc. national BD	Other	Jun 22, 2012	Jul 20, 2012
Amber Dawn Wickersham-Yee	Hilltop Securities Inc. other	RBC Capital Markets, LLC national BD	Other	Apr 25, 2012	Jul 18, 2012 (84 d)
Michael L Carr	Hilltop Securities Inc. other	Fmp Wealth Advisers other	Other	Apr 24, 2012	Mar 26, 2012
Matthew Salvador Houston	Hilltop Securities Inc. other	B Riley Wealth Management other	Other	Apr 18, 2012	Mar 19, 2012
Robert David Bourland	Hilltop Securities Inc. other	Westpark Wealth Advisors, Inc. other	Other	Apr 5, 2012	Feb 1, 2013 (302 d)
Michelle Glass	Hilltop Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Mar 19, 2012	Apr 25, 2013 (402 d)
Clinton Scott Anderson	Hilltop Securities Inc. other	Td Ameritrade Investment Management, LLC other	Other	Feb 21, 2012	Jul 24, 2013 (519 d)
Margaret G Sanchez	Hilltop Securities Inc. other	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Other	Jan 10, 2012	Jan 31, 2012
Mark Wayne Elledge	Hilltop Securities Inc. other	Ameriprise Financial Services, LLC national BD	Other	Nov 2, 2011	Oct 24, 2011
Marcel Fred Hamburger	Hilltop Securities Inc. other	Wells Fargo Advisors wirehouse	Other	Oct 21, 2011	Sep 30, 2011
Tia Stephanie Tomlin	Hilltop Securities Inc. other	Momentum Independent Network Inc. other	Other	Sep 22, 2011	Sep 28, 2011
Michael David Charles	Hilltop Securities Inc. other	Oppenheimer & Co. Inc. other	Other	Sep 19, 2011	Sep 6, 2011
Dagmara Katarzyna Frankowska	Hilltop Securities Inc. other	Momentum Independent Network Inc. other	Other	Jul 14, 2011	Jun 29, 2010
Thomas Brian Allred	Hilltop Securities Inc. other	Wells Fargo Advisors wirehouse	Other	May 20, 2011	Apr 21, 2011
Michael J Allison	Hilltop Securities Inc. other	First Financial Equity Corporation other	Other	May 11, 2011	Jan 29, 2015 (1359 d)

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243 moves match.