DB
Diane T. Binford
HILLTOP SECURITIES
Bastrop, TX
Some features on this profile are disabled
CRD#: 1017153
DB
Professional summary
Diane Tyll Binford, who also goes by Diane Gail Binford, Diane Gail Tyll, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Bastrop, Texas and MOMENTUM INDEPENDENT NETWORK INC. located in Bastrop, Texas.
Diane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Diane has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diane Gail Binford | Diane Gail Tyll
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Diane Tyll Binford's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diane Tyll Binford's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 7, 2021 - Present
HILLTOP SECURITIES INC.
RIA
BD
CRD#: 6220
Bastrop, TX
Current
June 8, 2021 - Present
MOMENTUM INDEPENDENT NETWORK INC.
RIA
BD
CRD#: 17587
Bastrop, TX
Current
May 7, 2021 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
June 8, 2021 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 17587
Dallas, TX
Past
June 15, 2020 - January 4, 2021
MOMENTUM INDEPENDENT NETWORK INC.
RIA
CRD#: 17587
DALLAS, TX
Past
June 15, 2020 - January 4, 2021
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
July 23, 2018 - January 4, 2021
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
DALLAS, TX
Past
July 23, 2018 - January 4, 2021
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
Past
April 29, 2013 - September 18, 2017
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
DALLAS, TX
Past
April 29, 2013 - September 18, 2017
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
Past
June 30, 2000 - April 12, 2013
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DALLAS, TX
Past
January 1, 1991 - April 12, 2013
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DALLAS, TX
Past
May 29, 1990 - January 1, 1991
ROTAN MOSLE INC.
BD
CRD#: 727
Past
February 15, 1988 - June 13, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
August 21, 1981 - February 15, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HILLTOP SECURITIES INC.
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
RIA
Registered Investment Advisory firm - SEC (6/10/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/8/2021)
IAR
Alabama(6/8/2021)
RR
Alaska(6/8/2021)
IAR
Alaska(7/9/2021)
RR
Arizona(6/8/2021)
IAR
Arizona(6/17/2021)
RR
Arkansas(6/8/2021)
IAR
Arkansas(6/8/2021)
RR
California(6/8/2021)
IAR
California(6/9/2021)
RR
Colorado(6/8/2021)
IAR
Colorado(6/9/2021)
RR
Connecticut(6/8/2021)
IAR
Connecticut(6/8/2021)
RR
Delaware(6/8/2021)
IAR
Delaware(6/9/2021)
RR
District of Columbia(6/8/2021)
IAR
District of Columbia(6/25/2021)
RR
Florida(6/8/2021)
IAR
Florida(6/9/2021)
RR
Georgia(6/8/2021)
IAR
Georgia(6/9/2021)
RR
Hawaii(6/8/2021)
IAR
Hawaii(6/16/2021)
RR
Idaho(6/8/2021)
RR
Illinois(6/8/2021)
RR
Indiana(6/8/2021)
IAR
Indiana(6/8/2021)
RR
Iowa(6/8/2021)
IAR
Iowa(6/10/2021)
RR
Kansas(6/8/2021)
RR
Kentucky(6/8/2021)
IAR
Kentucky(6/11/2021)
RR
Louisiana(6/8/2021)
IAR
Louisiana(6/11/2021)
RR
Maine(6/8/2021)
IAR
Maine(6/9/2021)
RR
Maryland(6/8/2021)
IAR
Maryland(6/8/2021)
RR
Massachusetts(6/8/2021)
IAR
Massachusetts(8/31/2021)
RR
Michigan(6/8/2021)
IAR
Michigan(6/10/2021)
RR
Minnesota(6/8/2021)
IAR
Minnesota(6/9/2021)
RR
Mississippi(6/8/2021)
IAR
Mississippi(6/9/2021)
RR
Missouri(6/8/2021)
IAR
Missouri(6/9/2021)
RR
Montana(6/8/2021)
IAR
Montana(6/9/2021)
RR
Nebraska(6/8/2021)
IAR
Nebraska(6/9/2021)
RR
Nevada(6/8/2021)
IAR
Nevada(6/23/2021)
RR
New Hampshire(6/8/2021)
IAR
New Hampshire(6/9/2021)
RR
New Jersey(6/8/2021)
IAR
New Jersey(6/9/2021)
RR
New Mexico(6/8/2021)
IAR
New Mexico(6/9/2021)
RR
New York(6/8/2021)
IAR
New York(6/12/2021)
RR
North Carolina(6/8/2021)
IAR
North Carolina(6/9/2021)
RR
North Dakota(6/8/2021)
IAR
North Dakota(6/14/2021)
RR
Ohio(6/9/2021)
IAR
Ohio(6/9/2021)
RR
Oklahoma(6/8/2021)
IAR
Oklahoma(6/9/2021)
RR
Oregon(6/8/2021)
IAR
Oregon(6/9/2021)
RR
Pennsylvania(6/8/2021)
IAR
Pennsylvania(6/9/2021)
RR
Rhode Island(6/8/2021)
IAR
Rhode Island(6/10/2021)
RR
South Carolina(6/8/2021)
IAR
South Carolina(6/9/2021)
RR
South Dakota(6/8/2021)
IAR
South Dakota(6/22/2021)
RR
Tennessee(6/8/2021)
RR
Texas(5/7/2021)
IAR
Texas(5/7/2021)
RR
Utah(6/8/2021)
IAR
Utah(6/8/2021)
RR
Vermont(6/8/2021)
RR
Virginia(6/8/2021)
IAR
Virginia(6/9/2021)
RR
Washington(6/8/2021)
RR
West Virginia(6/8/2021)
IAR
West Virginia(6/22/2021)
RR
Wisconsin(6/8/2021)
IAR
Wisconsin(6/9/2021)
RR
Wyoming(6/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/6/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
HILLTOP SECURITIES INC.
HILLTOP SECURITIES INC. | SWS SECURITIES, INC. | SWS SECURITIES INC. | SOUTHWEST SECURITIES, INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
RIA
Registered Investment Advisory firm - SEC (6/10/1998 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201
Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201
Phone number
(214) 953-4000
Established
Delaware since 12/31/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
91
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| BARTOLOTTA, MICHAEL GEORGE | BOARD DIRECTOR | 1620103 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| MUSCHALEK, JOHN RICHARD | BOARD DIRECTOR | 2226859 |
| PINEDA, ROMEO LINSANGAN | PRINCIPAL OPERATIONS OFFICER | 2193669 |
| SOBEL, JONATHAN SCOTT | CHAIRMAN | 1540818 |
| WINGES, MARTIN BRADLEY | CEO/PRESIDENT/DIRECTOR | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory assets under management
| Total Number of Accounts | 5,181 |
| AUM (Assets Under Management) | $ 2,254,166,069 |
Disclosures
| Regulatory Event | 56 |
| Arbitration | 22 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 07/26/2024 | ||
| 07/20/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
