Full text of HILLTOP SECURITIES INC.'s X-17A-5 filed 2022-02-23. Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  # **Hilltop Securities Inc.** **Statement of Financial Condition As of December 31, 2021 With Report of Independent Registered Public Accounting Firm** > Filed pursuant to Rule 17a(3)(3) under the Securities Exchange Act of 1934 as a PUBLIC DOCUMENT {1}------------------------------------------------ | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-------|-----------------|--------------------------------------------|--|--|--|--|--|--|--| | FILING FOR THE PERIOD BEGINNING January 01, 2021 AND ENDING December 31, 2021 | | | | | | | | | | | | | MM/DD/YY<br>MM/DD/YY | | | | | | | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | | | | | | NAME OF FIRM: | HILLTOP SECURITIES INC. | | | | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>L Security-based swap dealer<br>& Broker-dealer<br>Check here if respondent is also an OTC derivatives dealer | | | | | | | | | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | | | | | 717 N. Harwood Street, Suite 3400 | | | | | | | | | | | | | (No. and Street) | | | | | | | | | | | | Dallas | | 75201 | | | | | | | | | | | (City) | (State) | | (Zip Code) | | | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | | | | | Laura Leventhal | 214-859-1026 | | | laura.leventhal@hilltopsecurities.com | | | | | | | | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>PricewaterhouseCoopers, LLP | | | | | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | | | | 212 N. Pearl Street | | 1 X | 75201 | | | | | | | | | | (Address) | (City) | | | | | | | | | | | | October 20, 2003 | | | 238 | | | | | | | | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public | FOR OFFICIAL USE ONLY | | | | | | |…Read the full text as markdown