Full text of HILLTOP SECURITIES INC.'s X-17A-5 filed 2023-02-24. Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------  # A Hilltop Holdings Company... # Hilltop Securities Inc. Statement of Financial Condition As of December 31, 2022 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}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER FACING PAGE | | 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 1, 2022 AND ENDING December 31, 2022<br>MM/DD/YY | | MM/DD/YY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Hilltop Securities Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>Check here if respondent is also an OTC derivatives dealer | @ Broker-dealer ___ Security-based swap dealer ___ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | 717 N. Harwood Street, Suite 3400 | | | | | | | (No. and Street) | | | | | Dallas | XI | | 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* | | | | | PricewaterhouseCoopers, LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 212 N. Pearl Street | Dallas | IX | 75201 | | | (Address) | (City) | (State) | (Zip Code) | | | October 20, 2003 | | 238 | | | | (Date of Registration with PCAOB)(if applicable) | FOR OFFICIAL USE ONLY | | (PCAOB Registration Number, if applicable | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must b…Read the full text as markdown