Full text of HILLTOP SECURITIES INC.'s X-17A-5 filed 2024-02-22. 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, 2023 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}------------------------------------------------ | | SFC FILE NUMBER | | |--|-----------------|--| | FILING FOR THE PERIOD BEGINNING January 1, 2023 AND ENDING December 31, 2023 | MM/DD/YY | | | MM/DD/YY | |-------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------|-----|-----------------|--------------------------------------------| | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Hilltop Securities Inc. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>IXI Broker-dealer<br>Check here if respondent is also an OTC derivatives 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 | TX | | | 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 filling *<br>PriceWaterhouse Coopers LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | 2121 N. Pearl Street | Dallas | TX | | 75201 | | (Address) | (City) | | (State) | (Zip Code) | | 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 | | | | {2}------------------------------------------------ | M. Bradley Winges | swear (or affirm) that, to the best of my knowledge and belief, the | | |-----------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------…Read the full text as markdown