HILLTOP SECURITIES ASSET MANAGEMENT, LLC of DALLAS, TX is an SEC-registered investment adviser (CRD 110760). Regulatory assets under management: $37.7B.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Pooled vehicles, Other.
Showing 25 of 28 people.
| Name | Role | Location |
|---|---|---|
| Martin Bradley Winges | CEO; CHAIRMAN OF THE BOARD | Minneapolis, MN |
| David King Medanich | BOARD MANAGER | Dallas, TX |
| Joseph Michael Edge | CHIEF FINANCIAL OFFICER | Dallas, TX |
| Brian Lane Wittneben | SECRETARY/GENERAL COUNSEL | Dallas, TX |
| Scott Andrew Coya | CHIEF COMPLIANCE OFFICER | — |
| Mary Ann Dunda | PRESIDENT AND BOARD MEMBER | — |
| BURKE JAMES PATRICK | PRESIDENT, INVESTMENT MANAGEMENT | — |
| COGLIANO MICHAEL ANTHONY | CHIEF COMPLIANCE OFFICER | — |
| WINGES MARTIN BRADLEY | CEO; CEO/PRESIDENT; CHAIRMAN AND CEO (+1 more) | — |
| FOLEY PAUL FRANCIS | CHIEF COMPLIANCE OFFICER/ AML OFFICER | — |
| BASS PAUL MILTON | DIRECTOR | — |
| FEINBERG HILLEL ARNOLD | CHAIRMAN, BOARD OF DIRECTORS; CHAIRMAN/CEO; CHAIRMAN OF THE BOARD OF MANAGERS/CEO (+2 more) | — |
| CAMPBELL DONALD NONE | CHIEF LEGAL OFFICER; PRESIDENT | — |
| TIMM WILLIAM CONNELL | CHIEF FINANCIAL OFFICER | — |
| FERTIG SCOTT OGDEN | CHIEF COMPLIANCE OFFICER; DIRECTOR OF COMPLIANCE | — |
| MARZ MICHAEL JOHN | BOARD MANAGER; DIRECTOR | — |
| SCHLOSBERG PAUL EDWARD | CHAIRMAN & CEO | — |
| COULTER ROBERT VINCENT | CHIEF COMPLIANCE OFFICER / AML OFFICER | — |
| COMMONS DAVID ALAN | CHIEF FINANCIAL OFFICER | — |
| MEDANICH DAVID KING | BOARD DIRECTOR; BOARD MANAGER; PRESIDENT | — |
| HOLT DAVID ERIC | CHIEF COMPLIANCE OFFICER / AML OFFICER | — |
| COOK KAREN LUNDSKOW | LEGAL COUNSEL | — |
| MORRIS BLAKE BARNES | CHIEF COMPLIANCE OFFICER / AML OFFICER | — |
| WITTNEBEN BRIAN LANE | SECRETARY/GENERAL CONUSEL; SECRETARY/GENERAL COUNSEL | — |
| EDGE JOSEPH MICHAEL | CHEIF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-08-14 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED A SETTLED ORDER FINDING THAT HILLTOP SECURITIES INC. ("HILLTOP") FAILED TO (1) MAINTAIN AND PRESERVE OFF-CHANNEL COMMUNICATIONS RELATED TO HILLTOP'S BROKER-DEALER BUSINESS, IN WILLFUL VIOLATION OF SECTION 17(A) OF THE SECURITIES EXCHANGE ACT OF… | Final | $1.6M |
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