CRD #6220 · FINRA BrokerCheck + SEC IAPD

Hilltop Securities Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Hilltop Securities Inc. ranks #57 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #2 of 189 on the same disclosure sort used on the state browse page. Hilltop Securities Inc. carries 78 BrokerCheck disclosures across 87 branch offices - moderate load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
87
branch offices
78
disclosures
#57 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 6220 Hilltop Securities Inc.

Hilltop Securities Inc. · Grade C · 78 disc · 0.90/office · Mid-sized firm

  • CRD 6220
  • GRADE C
  • DISC 78
  • REG 56
  • ARB 22
  • CIV 0
  • BRANCH 87
  • PER-OFF 0.90
  • RANK #57 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Moors & Cabot, Inc. (0.89 disc/office)

Moors & Cabot, Inc.0.89Ingalls & Snyder, LLC0.90National Financial Serv…0.89Hilltop Securities … (this)0.90
Disclosures per office among mid-sized firm peers (lower is cleaner)

Hilltop Securities Inc. ranks #57 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.90 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

87 offices

FINRA: Large firm

Total disclosures

78 events

On FINRA BrokerCheck

Regulatory events

56 actions

72% of all disclosures

Disclosures per office

0.90 per office

78 ÷ 87 offices

Hilltop Securities Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 35% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). This entry sits in this band. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 56
Arbitrations 22
Civil Events 0
Total 78

Counts for Hilltop Securities Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 56 Arbitration 22 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Dallas, TX
CRD Number
6220

Heavy disclosure book

Hilltop Securities Inc. in the heavier-disclosure third

Hilltop Securities Inc. carries 78 BrokerCheck disclosures across 87 branch offices - a heavier-third raw book among graded firms (#57 of 20,055). Regulator-initiated events are 72% of the book (56 regulatory / 22 arbitration / 0 civil).

Hilltop Securities Inc. ranks #57 of 20,055 by BrokerCheck disclosure count among graded firms (78 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Hilltop Securities Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Texas cohort · 19× state average

Hilltop Securities Inc. sits above the Texas disclosure average

Hilltop Securities Inc. reports 78 BrokerCheck disclosures, 19× the Texas average of 4.0 across 189 graded firms with a principal-office state on file.

In Texas, 110 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Texas state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Hilltop Securities Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Hilltop Securities Inc. ranks #57 of 20,055 by disclosure count (most disclosures first). Among firms registered in TX, it ranks #2 of 189 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Hilltop Securities Inc.?
A grade of C reflects Hilltop Securities Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 78 total disclosures across 87 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Hilltop Securities Inc. have?
Hilltop Securities Inc. has 78 total FINRA disclosures, including 56 regulatory events, 22 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Hilltop Securities Inc.?
Hilltop Securities Inc. operates 87 branch offices and is classified by FINRA as a large firm, registered in TX (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Hilltop Securities Inc.'s disciplinary record?
You can verify Hilltop Securities Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 6220. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Hilltop Securities Inc.'s 78 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Hilltop Securities Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Hilltop Securities Inc. carries 78 disclosures across 87 branch offices (about 0.90 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Hilltop Securities Inc., both outside TX so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Similar disclosure totals

Nearest cross-state graded firms by BrokerCheck disclosure count (78 here).

Citadel Securities LLC · FL 76 disc. Stonex Financial Inc. · FL 76 disc. Virtu Americas LLC · NY 75 disc. Instinet, LLC · NY 81 disc.

Read with this firm

  • Moors & Cabot, Inc. (MA) - 0.89 disclosures/office, nearest mid-sized firm peer to Hilltop Securities Inc.'s 0.90
  • Ingalls & Snyder, LLC (NY) - 0.90 disclosures/office, nearest mid-sized firm peer to Hilltop Securities Inc.'s 0.90
  • National Financial Services LLC (MA) - 0.89 disclosures/office, nearest mid-sized firm peer to Hilltop Securities Inc.'s 0.90
  • Firms in TX - state roster that includes Hilltop Securities Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like Hilltop Securities Inc..
  • Reading BrokerCheck Reports - How Hilltop Securities Inc.'s 0.90 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Hilltop Securities Inc..
  • Compare firms - put Hilltop Securities Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.