SJ
Stephen K. Jones
HILLTOP SECURITIES
Dallas, TX 75201
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CRD#: 1135113
SJ
Professional summary
Stephen Kornegay Jones is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Stephen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 10, Series 9 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CALCOSA, LLC - REAL ESTATE - 6420 GLENHOLLOW DR PLANO, TX 75093 - REAL ESTATE - 6420 GLENHOLLOW DR. PLANO TX 75093 - REAL ESTATE - WIFE AND MYSELF ARE SOLE MEMBERS OF LLC THAT INVESTS IN REAL ESTATE - END OF 2006 - STEVE HAS SOLD ALL THE REAL ESTATE UNDER THE LLC AND IT IS NOW A SHELL THAT COLLECTS NO INCOME, BUT IS STILL OPEN.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Kornegay Jones's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Kornegay Jones'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
March 4, 2025 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
March 4, 2025 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Past
January 3, 2011 - February 4, 2025
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
Plano, TX
Past
August 14, 2000 - December 16, 2010
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
Plano, TX
Past
August 14, 2000 - February 4, 2025
HILLTOP SECURITIES INC.
BD
CRD#: 6220
Plano, TX
Past
December 9, 1994 - August 7, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
July 31, 1993 - December 20, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
July 23, 1985 - 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
Texas(3/4/2025)
IAR
Texas(3/4/2025)
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
Principal/Supervisory Exam
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 | 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
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.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Dallas, TX 75201TRUST BUT VERIFY
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