Tracy L. Weiss
Professional summary
Tracy Lee Weiss, who also goes by Tracy Lee Johnson, is a registered financial professional currently at MOMENTUM INDEPENDENT NETWORK INC. located in Dallas, Texas and HILLTOP SECURITIES INC. located in Dallas, Texas.
Tracy is registered as a RR (Registered Representative) and started their career in finance in 1985. Tracy has worked at 6 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tracy Lee Weiss's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 11, 2023 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201October 11, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201November 30, 2021 - September 14, 2023
AVANTAX INVESTMENT SERVICES, INC.
July 28, 2021 - November 18, 2021
HILLTOP SECURITIES INC.
December 10, 2008 - October 1, 2009
HILLTOP SECURITIES INC.
December 10, 2008 - October 1, 2009
HILLTOP SECURITIES INC.
September 30, 2004 - January 7, 2009
M.L. STERN & CO., LLC.
June 6, 1988 - January 7, 2009
M.L. STERN & CO., LLC.
December 15, 1987 - March 3, 1988
LEHMAN BROTHERS INC.
July 23, 1985 - November 12, 1987
SECURITIES RESOLUTION CORPORATION
Primary Firm SEC Registration
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/28/2021
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
New York Stock Exchange
Current Firm
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
Contact information
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 | BOARD DIRECTOR | 4326551 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Dallas, TX 75201TRUST BUT VERIFY
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