October 28, 2016 5:57 PM ET

Capital Markets

Company Overview of Hilltop Securities Inc.

Company Overview

Hilltop Securities Inc. provides securities brokerage, corporate finance, and investment management services. The firm offers trade execution, clearing, and client account processing, institutional equity sales and trading, portfolio trading, and fixed income securities underwriting services. It provides financial advisory services including mergers and acquisitions, initial public offerings, debt and equity private placement, and valuations. Southwest Securities, Inc. was founded in 1986 and is based in Dallas, Texas with additional offices in San Antonio, Houston, and Austin, Texas; Chicago, Illinois; Ft. Lauderdale, Florida; Newport Beach, California; and New York, New York. As of Decembe...

1201 Elm Street

Suite 3500

Dallas, TX 75270-2102

United States

Founded in 1986





Key Executives for Hilltop Securities Inc.

Chief Executive Officer and President
Age: 48
Head of Corporate Finance and Executive Vice President
Age: 47
Senior Vice President and Director of Marketing
Executive Vice President and Head of Taxable Fixed Income
Age: 55
Vice President and Senior Equity Analyst
Compensation as of Fiscal Year 2016.

Hilltop Securities Inc. Key Developments

Hilltop Securities Inc.'S Private Client Group Appoints Alan Lennick as Regional Director for the West Coast and Senior Vice President, Practice Management

Hilltop Securities Inc. announced that Alan Lennick has joined the company's Private Client Group (PCG) in Beverly Hills, Calif., as Regional Director for the West Coast and Senior Vice President (SVP), Practice Management. As Regional Director, Lennick will assist West Coast PCG branch managers with increasing advisor productivity and concentrate on recruiting new talent to the firm's wealth management business. In his role as SVP, Practice Management, Lennick will support PCG and HilltopSecurities Independent Network advisors with their fee-for-advice programs and play an integral role in ensuring advisors meet the requirements of the Department of Labor's recently adopted final rule defining fiduciary investment advice and conflicts of interest. Prior to joining HilltopSecurities, Lennick served as Complex Director for Ameriprise's Los Angeles complex. Prior to that, he managed Ameriprise branches in the Minneapolis/St. Paul area and was a partner in a $2 million practice through the firm's independent channel.

Hilltop Securities Inc. Welcomes James H. Harding as Financial Advisor in Roseville

Hilltop Securities Inc. announced that James H. Harding has joined the company's Private Client Group as a financial advisor in Roseville, Calif. Mr. Harding has more than 30 years of experience in the financial services industry, most recently with Morgan Stanley where he served clients for eight years.

Hilltop Securities Inc Announces Management Changes

Hilltop Securities Inc. announced on that it has appointed Brian L. Wittneben as general counsel as of March 1, 2016, replacing the retiring Allen R. Tubb on February 29, 2016. Tubb will continue to serve in a consulting role for a period of time after his retirement. Earlier, Wittneben was serving as senior vice president (SVP) overseeing the legal and corporate governance functions of the company and before that was general counsel of First Southwest Company LLC, prior to that firm's merger with HilltopSecurities in January 2016.

Similar Private Companies By Industry

Company Name Region
@Visory LLC United States
1 Road Partners LLC United States
11T Partners, LLC United States
123Jump.com, Inc. United States
1509225 Ontario, Inc. United States

Recent Private Companies Transactions

No transactions available in the past 12 months.

The information and data displayed in this profile are created and managed by S&P Global Market Intelligence, a division of S&P Global. Bloomberg.com does not create or control the content. For inquiries, please contact S&P Global Market Intelligence directly by clicking here.

Stock Quotes

Market data is delayed at least 15 minutes.

Company Lookup

Most Searched Private Companies

Company Name Geographic Region
Lawyers Committee for Civil Rights Under Law United States
Bertelsmann AG Europe
Bloomberg L.P. United States
The Advertising Council, Inc. United States
NYC2012, Inc. United States

Sponsored Financial Commentaries

Sponsored Links

Request Profile Update

Only a company representative may request an update for the company profile. Documentation will be required.

To contact Hilltop Securities Inc., please visit --. Company data is provided by S&P Global Market Intelligence. Please use this form to report any data issues.

Please enter your information in the following field(s):
Update Needed*

All data changes require verification from public sources. Please include the correct value or values and a source where we can verify.

Your requested update has been submitted

Our data partners will research the update request and update the information on this page if necessary. Research and follow-up could take several weeks. If you have questions, you can contact them at bwwebmaster@businessweek.com.