SB
Steven J. Balaban
HILLTOP SECURITIES
Oklahoma City, OK 73142
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CRD#: 1139717
SB
Professional summary
Steven Jay Balaban, CPWA®, who also goes by Steve Jay Balaban, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Oklahoma City, Oklahoma.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Jay Balaban
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.
1) MADCO-METRO AREA DEVELOPMENT CORPORATION; 4200 N. LINDSAY AVE. OKLAHOMA CITY, OK 73105; NON-INVESTMENT; NON-RIA; START 01/2014; 0% OWNER; BOARD MEMBER-REVIEW AND VOTE ON LOAN APPLICATIONS; 3-4 HRS/MTH; 3-4 HRS/MTH DURING SECURITIES TRADING HOURS; DOES NOT RAISE CAPITAL. 2) Notary for the State of Oklahoma - Notary - Notarizing Documents on an as needed basis - no compensation - Edmond OK - Start date 01/21/2015 - No Conflicts of Interest.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Jay Balaban's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Jay Balaban'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®
CPWA®
Start date: 2009-11-23
Expire date: 2023-10-31
Experience
Current
February 10, 2017 - Present
HILLTOP SECURITIES INC.
Office #1: 4811 Gaillardia Parkway Suite 105, Oklahoma City, OK 73142Office #2: 704 Wall Street, Norman, OK 73069RIA
BD
CRD#: 6220
Oklahoma City, OK
Current
February 10, 2017 - Present
HILLTOP SECURITIES INC.
Office #1: 4811 Gaillardia Parkway Suite 105, Oklahoma City, OK 73142Office #2: 704 Wall Street, Norman, OK 73069RIA
BD
CRD#: 6220
Oklahoma City, OK
Past
August 23, 2011 - February 10, 2017
WFG ADVISORS, LP
RIA
CRD#: 125073
EDMOND, OK
Past
August 23, 2011 - February 10, 2017
WFG INVESTMENTS, INC.
BD
CRD#: 22704
Edmond, OK
Past
June 1, 2009 - September 7, 2011
MORGAN STANLEY
RIA
CRD#: 149777
OKLAHOMA CITY, OK
Past
June 1, 2009 - September 7, 2011
MORGAN STANLEY
BD
CRD#: 149777
OKLAHOMA CITY, OK
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
OKLAHOMA CITY, OK
Past
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
OKLAHOMA CITY, OK
Past
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
June 22, 1983 - 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(11/8/2017)
RR
Arizona(8/20/2025)
RR
California(2/10/2017)
IAR
California(2/10/2017)
RR
Florida(2/10/2017)
IAR
Florida(2/13/2017)
RR
Illinois(2/10/2017)
IAR
Illinois(2/10/2017)
RR
Indiana(1/2/2020)
IAR
Kansas(9/15/2017)
RR
Kansas(1/17/2018)
RR
Louisiana(11/8/2017)
RR
Massachusetts(11/8/2017)
RR
Nevada(11/8/2017)
RR
New York(2/10/2017)
IAR
New York(2/23/2021)
RR
Oklahoma(2/10/2017)
IAR
Oklahoma(2/10/2017)
RR
South Dakota(5/22/2025)
IAR
South Dakota(5/22/2025)
RR
Tennessee(2/10/2017)
RR
Texas(2/10/2017)
IAR
Texas(2/10/2017)
RR
Washington(4/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 7/24/1995
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 7/24/1995
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/9/1987
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 | 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.
