SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Hilltop Securities Inc.
Dallas, TX
CRD 6220
Firm filing updated August 11, 2026 ·
- $2.5BAssets
- 3,407Clients
- 92Advisory staff
- 5,592Accounts
Fees and minimums
- Hourly feesAsk the firm for the rate
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesYes
- Fixed feesYes
- OtherYes
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
Who the firm serves
- Individuals2,736
- High net worth individuals599
- Corporations or other businesses49
- Charities11
- Pension and profit sharing plans7
- and 1 more5
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 2,736 | $829.5 million |
| High net worth individuals | 599 | $1.4 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 7 | $19.2 million |
| Charitable organizations | 11 | $27.7 million |
| State or municipal government entities (including government pension plans) | 5 | $73.0 million |
| Corporations or other businesses not listed above | 49 | $125.5 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
See all 6 services
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisors (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
Assets and accounts
- Regulatory assets$2.5 billion
- Accounts5,592
- Discretionary$1.8 billion · 4,132 accounts
- Non-discretionary$710.3 million · 1,460 accounts
People
- Employees92
- Advisory staff92
- Broker-dealer reps91
- Licensed insurance agents63
- Planning clients26 to 50
Advisors
98 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 6220, SEC file 801-55529.
- Registered with the SEC as an investment advisor (status date on record: June 10, 1998).
Is Hilltop Securities Inc. a fiduciary?
Short answer: Hilltop Securities Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 91 staff are broker-dealer representatives, the firm is itself a broker-dealer and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
63 staff are licensed insurance agents, the firm is itself an insurance broker or agent and the firm has a related insurance company or agency.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.