October 17, 2017 1:09 PM ET

Capital Markets

Company Overview of Hilltop Securities Inc.

Company Overview

As of January 25, 2016, Hilltop Securities Inc. was acquired by First Southwest Company LLC. The firm 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. Hilltop 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...

1201 Elm Street

Suite 3500

Dallas, TX 75270-2102

United States

Founded in 1986





Key Executives for Hilltop Securities Inc.

Hilltop Securities Inc. does not have any Key Executives recorded.

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.

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