0000891055-21-000070.txt : 20211008 0000891055-21-000070.hdr.sgml : 20211008 20211008122035 ACCESSION NUMBER: 0000891055-21-000070 CONFORMED SUBMISSION TYPE: D/A PUBLIC DOCUMENT COUNT: 1 ITEM INFORMATION: 06b FILED AS OF DATE: 20211008 DATE AS OF CHANGE: 20211008 EFFECTIVENESS DATE: 20211008 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HILLTOP SECURITIES INC. CENTRAL INDEX KEY: 0000891055 IRS NUMBER: 751382137 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: D/A SEC ACT: 1933 Act SEC FILE NUMBER: 021-392918 FILM NUMBER: 211314549 BUSINESS ADDRESS: STREET 1: 717 N. HARWOOD STREET STREET 2: SUITE 3400 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-859-6687 MAIL ADDRESS: STREET 1: 717 HARWOOD STREET STREET 2: SUITE 3400 CITY: DALLAS STATE: TX ZIP: 75201 FORMER COMPANY: FORMER CONFORMED NAME: SOUTHWEST SECURITIES, INC. DATE OF NAME CHANGE: 20151015 FORMER COMPANY: FORMER CONFORMED NAME: HILLTOP SECURITIES INC. DATE OF NAME CHANGE: 20151006 FORMER COMPANY: FORMER CONFORMED NAME: SOUTHWEST SECURITIES, INC. DATE OF NAME CHANGE: 20030217 D/A 1 primary_doc.xml X0708 D/A LIVE 0000891055 HILLTOP SECURITIES INC. 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 214-953-4000 DELAWARE SOUTHWEST SECURITIES, INC. HILLTOP SECURITIES INC. SWS SECURITIES INC. Corporation true Jonathan Scott Sobel 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Director Chairman Laura Bonnell Alexander 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Director Michael John Marz 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Director David King Medanich 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Director John Richard Muschalek 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Director Maria Teresa Aguilera-Peon 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Director Martin Bradley Winges 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Executive Officer Director President and Chief Executive Officer Joseph Michael Edge 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Executive Officer Director Chief Financial Officer Laura Leventhal 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Executive Officer Director Treasurer and Chief Accounting Officer Michael Anthony Cogliano 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Executive Officer Chief Compliance Officer Brian Lane Wittneben 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Executive Officer General Counsel and Secretary Michael Andrew Lyons 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 Executive Officer Assistant Secretary Other Banking and Financial Services Decline to Disclose 06b true 0000891055-21-000058 2021-03-17 true true true High Yield Secured Commercial Paper Notes - Series 2019-2 false 250000 N/A None Hilltop Securities Inc. 6220 717 N. Harwood Street Suite 3400 Dallas TX TEXAS 75201 All States false Indefinite 238998000 Indefinite false 7 296217 true 0 0 false HILLTOP SECURITIES INC. /s/ Michael Cogliano Michael Cogliano Chief Compliance Officer 2021-10-06