Dallas, TX Preston Rd. Office

Team
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Hilltop Securities inc.

Multi-team

Firm-wide stats for Hilltop Securities inc.

Total advisors

164

Across 33 offices

Clients per advisor

20 Very Low

Avg AUM per client

$678,307 Typical

HNW client ratio

18% Typical

About

Hilltop Securities serves a mix of individual (including high-net-worth) and institutional clients — including corporate and retirement-plan sponsors — through both investment advisory and broker-dealer services. The firm offers managed account programs, financial planning, retirement-plan advisory and consulting, and annuity-based advisory solutions, and it performs brokerage, execution, clearing and custody functions as described in its disclosure brochure.

The firm delivers advisory services on an open-architecture platform and uses third‑party technology and managers (notably Envestnet) alongside firm‑sponsored strategies; HTS’s HTSPM municipal bond lineup is sponsored by Hilltop, co‑advised by Franklin Templeton Group, LLC and sub‑advised by Western Asset Management. Clients can choose discretionary or non‑discretionary management, access optional tax‑aware and impact overlay services, and receive periodic reporting and program‑level monitoring described in the brochure.

What distinguishes Hilltop from many enterprise peers is its combination of custody, banking and market‑making capabilities: HTS acts as a qualified custodian for program assets, is affiliated with a banking institution and operates an FDIC sweep (BID) structure designed to extend deposit insurance, and it operates as a full‑service broker‑dealer and registered adviser. The firm also sponsors municipal‑focused municipal bond strategies, has implemented program services such as a Global Class Actions Asset Recovery Program with Broadridge, and makes commodity and other specialty strategies available in select programs.

Based on Hilltop Securities inc.

Expertise

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management

Based on Hilltop Securities inc.

Occupation focus

Founder/Business Owner Retired

Based on Hilltop Securities inc.

Location

8201 Preston Rd., Suite 600

Dallas TX 75225

Advisors at this office

20

Advisors at this office

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Michael F

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

Michael Forner is a financial advisor with Hilltop Securities Inc. in Dallas, TX. He holds Series 63 and Series 66 licenses and has 33 years of industry experience. He has been with Hilltop Securities since 2016. Hilltop Securities Inc. provides brokerage, execution, clearing, custody, investment advisory, and retirement-plan consulting services to individuals, corporations, nonprofit, and institutional clients. The firm offers a range of managed account programs through an open-architecture platform and features unique operational capabilities, including custody services and municipal bond strategies co-advised with Franklin Templeton Group.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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Michael C

Series 63

Dallas, TX

Hilltop Securities inc.

Michael Campbell is a financial advisor at Hilltop Securities Inc. in Dallas, TX, holding a Series 63 designation with 45 years of industry experience. He has been with Hilltop Securities since 2009. Hilltop Securities Inc. provides brokerage, execution, clearing, custody, investment advisory, and retirement-plan consulting services to individuals, corporations, nonprofits, and institutional clients. The firm manages approximately $2.25 billion in assets and offers a range of portfolio management programs and fiduciary retirement-plan consulting through an open-architecture platform incorporating multiple adviser-managed and model-based investment solutions.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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Matthew R

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

Matthew Rogers is a financial advisor with Hilltop Securities Inc. in Dallas, TX. He holds Series 63 and Series 66 licenses and has one year of industry experience. His prior roles include positions at Truist Investment Services, Equitable Advisors, UBS, and Northwestern Mutual. Hilltop Securities Inc. serves individuals, corporations, nonprofits, and institutional clients by providing brokerage, investment advisory, retirement-plan consulting, and custody services. The firm offers an open-architecture investment platform with a range of adviser-managed and model-based programs, supporting approximately $2.25 billion in assets under management.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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Hector S

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

Hector Salomon is a financial advisor at Hilltop Securities Inc. in Dallas, TX, holding Series 63 and Series 66 licenses with six years of industry experience. He previously worked at NYLIFE Securities LLC and New York Life Insurance Company for five years, as well as Bank of America for six years. Hilltop Securities serves individual and institutional clients, including high-net-worth individuals and retirement-plan sponsors, offering investment advisory and broker-dealer services through an open-architecture platform that combines third-party technology with firm-sponsored strategies. The firm also integrates custody, banking, and market-making capabilities.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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Saul L

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

Saul Lico is a financial advisor at Hilltop Securities Inc. with 14 years of industry experience. He holds Series 63 and Series 66 registrations and has worked at Hilltop since 2019, following prior roles at Wells Fargo Clearing and Wells Fargo Bank. Outside of finance, he has worked as a background actor in film productions. Hilltop Securities serves individual, high-net-worth, and institutional clients through investment advisory and brokerage services, offering managed accounts, financial planning, retirement-plan consulting, and municipal bond strategies. The firm combines custody, banking, and market-making capabilities and employs an open-architecture platform with both third-party and firm-sponsored investment solutions.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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Mark C

Series 63

Dallas, TX

Hilltop Securities inc.

Mark Clift is a financial advisor at Hilltop Securities Inc. in Dallas, TX, holding a Series 63 designation with 36 years of industry experience. He has been with Hilltop Securities since 2002. Outside of his advisory role, Clift is a stockholder in a certified development company providing long-term loans to small businesses, owns a cattle feeding and growing operation, and serves as treasurer for the Woodland Hills Property Owners Association. Hilltop Securities Inc. offers brokerage, investment advisory, and retirement-plan consulting services to individuals, corporations, nonprofits, and institutional clients. The firm manages approximately $2.25 billion in assets and provides a range of portfolio management programs and fiduciary services through an open-architecture platform.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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Steven K

Series 63, Series 65

Dallas, TX

Hilltop Securities inc.

Steven Kenny is a financial advisor at Hilltop Securities Inc. with 38 years of industry experience. He holds Series 63 and Series 65 designations and has worked previously at Truist Advisory Services, Truist Investment Services, and BB&T Securities. He is also a member of 1119 Partners, LLC, an entity used for private investments. Hilltop Securities serves individual and institutional clients, including high-net-worth individuals and retirement-plan sponsors, offering a range of advisory and brokerage services through an open-architecture platform that includes third-party and firm-sponsored investment strategies. The firm combines custody, banking, and market-making capabilities, and sponsors specialized municipal bond strategies alongside other program offerings.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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James R

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

James Ruberto is a financial advisor at Hilltop Securities Inc. based in Dallas, TX, holding Series 63 and Series 66 licenses with 26 years of industry experience. He previously worked at Robert W. Baird for 13 years before joining Hilltop Securities in 2024. Hilltop Securities Inc. provides brokerage, clearing, custody, investment advisory, and retirement-plan consulting services to individuals, corporations, nonprofit, and institutional clients. The firm offers a range of portfolio management programs and retirement-plan fiduciary services through an open-architecture platform with approximately $2.25 billion in assets under management.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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John R

Series 63, Series 66

Dallas, TX

Hilltop Securities inc.

John Rivera is a financial advisor with Hilltop Securities Inc. in Dallas, TX, holding Series 63 and Series 66 licenses and bringing 17 years of industry experience. He previously worked for J.P. Morgan Securities and JPMorgan Chase Bank, NA, each for 11 years, and managed The Finishing Touch Painting Co. for 20 years. Hilltop Securities Inc. serves individuals, corporations, nonprofits, and institutional clients by providing brokerage, advisory, and retirement-plan consulting services. The firm uses an open-architecture platform offering multiple managed account programs and distinctive capabilities such as municipal bond strategies co-advised by Franklin Templeton and custody services uncommon among enterprise advisers.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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John R

Series 63, Series 65, Series 66

Dallas, TX

Hilltop Securities inc.

John Rutledge Sr. is a financial advisor at Hilltop Securities Inc. in Dallas, TX, with 30 years of industry experience. He holds Series 63, 65, and 66 licenses and has been with Hilltop Securities since 2016. Rutledge is involved in community activities, serving as a board member of the Highland Park High School Alumni Association and participating in the Salesmanship Club of Dallas, including volunteer roles at the Byron Nelson Championship. Hilltop Securities Inc. provides brokerage, execution, clearing, custody, investment advisory, and retirement-plan consulting services to individuals, corporations, nonprofits, and institutional clients. The firm uses an open-architecture platform and offers a range of managed account programs, including municipal bond strategies co-advised by Franklin Templeton Group and sub-advised by Western Asset Management.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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James J

Series 63, Series 65

Dallas, TX

Hilltop Securities inc.

James Jones is a financial advisor at Hilltop Securities Inc. in Dallas, TX, with 50 years of industry experience. He has been with Hilltop Securities since 2000 and holds Series 63 and Series 65 licenses. Outside of his advisory role, he manages Elan Associates, LLC, which holds intellectual property related to trading software. Hilltop Securities Inc. provides brokerage, execution, clearing, custody, investment advisory, and retirement-plan consulting services to individuals, corporations, nonprofits, and institutional clients. The firm manages approximately $2.25 billion in assets and offers a range of portfolio management programs and retirement-plan fiduciary services through an open-architecture platform.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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Stephen C

Series 63, Series 65

Dallas, TX

Hilltop Securities inc.

Stephen Crossman is a financial advisor with Hilltop Securities Inc. in Dallas, TX, holding Series 63 and Series 65 licenses and bringing 33 years of industry experience. He has been with Hilltop Securities since 2016. Hilltop Securities Inc. provides brokerage, execution, clearing, custody, investment advisory, and retirement-plan consulting services to individuals, corporations, nonprofits, and institutional clients. The firm manages approximately $2.25 billion in assets and offers a range of investment solutions through an open-architecture platform that includes adviser-managed and model-based programs, along with specialized municipal bond strategies and custody capabilities uncommon among enterprise advisers.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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Wesley D

Series 66

Dallas, TX

Hilltop Securities inc.

Wesley Darilek is a financial advisor with Hilltop Securities Inc. in Dallas, TX, holding a Series 66 designation and 19 years of industry experience. His prior roles include positions at Wells Fargo Clearing, Wells Fargo Investments, LLC, and Equitable Advisors. Hilltop Securities serves a diverse client base, including individuals, high-net-worth clients, and institutional investors, offering a range of advisory and brokerage services through an open-architecture platform that incorporates third-party technology and firm-sponsored strategies. The firm is notable for its combination of custody, banking, and market-making capabilities alongside municipal bond strategies and specialty program services.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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Richard G

Series 63, Series 65

Dallas, TX

Hilltop Securities inc.

Richard Galen Jr. is a financial advisor with Hilltop Securities Inc. in Dallas, TX, holding Series 63 and Series 65 credentials and bringing 37 years of industry experience. He has been with Hilltop Securities since 2015. Hilltop Securities Inc. provides brokerage, execution, clearing, custody, investment advisory, and retirement-plan consulting services to individuals, corporations, nonprofits, and institutional clients. The firm offers a range of investment solutions through an open-architecture platform, including adviser-managed and model-based programs, and maintains distinctive operational features such as custody capabilities and municipal bond strategies co-advised by Franklin Templeton Group.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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Henry B

Series 63, Series 65

Dallas, TX

Hilltop Securities inc.

Henry Bashore is a financial advisor at Hilltop Securities Inc. in Dallas, TX, holding Series 63 and Series 65 licenses with 45 years of industry experience. He worked at Stephens Inc. for 12 years prior to joining Hilltop Securities in 2024. Hilltop Securities Inc. offers brokerage, clearing, custody, investment advisory, and retirement-plan consulting services to individuals, corporations, nonprofits, and institutional clients. The firm manages approximately $2.25 billion in assets and provides a range of portfolio management and financial planning solutions through an open-architecture platform that includes adviser-managed and model-based programs.

Tax-loss harvesting Wealth management Retirement income strategy Annuities Active portfolio management Founder/Business Owner Retired
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