CG
Carol D. Garza
HILLTOP SECURITIES
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 1145775
CG
Professional summary
Carol Diane Garza, who also goes by Carol Diane Fowler, Carol D Garza, Carol Diane Hopper, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas and MOMENTUM INDEPENDENT NETWORK INC. located in Dallas, Texas.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Carol has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Carol Diane Fowler | Carol D Garza | Carol Diane Hopper
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)YOUNG LIVING - NON-INVESTMENT RELATED - ROWLETT, TX - ESSENTIAL OIL DISTRIBUTORSHIP - INDEPENDENT REP - 1 HR PER MNTH PER NON-BSNSS HRS - 0 HRS PER MNTH DURING BSNSS HRS - STARTED DEC 2014. 2) SO SASSY AT HEART - NON-INVESTMENT RELATED - ROWLETT, TX - MONOGRAM & CRAFT BUSINESS - OWNER - STARTED .07/2015 - 40 HRS/MO - ZERO HRS/MO DURING BUSINESS HRS 3) Color Street Nails - NON-INVESTMENT RELATED - ROWLETT, TX - a nail polish strip company - rep for Color Street Nails - started 7/20/20 - 4 HRS/MO - ZERO HRS/MO DURING BUSINESS HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Carol Diane Garza's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carol Diane Garza'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
April 6, 2009 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
February 14, 2025 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 17587
Dallas, TX
Current
April 6, 2009 - Present
HILLTOP SECURITIES INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 6220
Dallas, TX
Current
April 8, 2025 - Present
MOMENTUM INDEPENDENT NETWORK INC.
Office #1: 717 N. Harwood Street Suite 3400, Dallas, TX 75201Office #2: 717 N. Harwood Street Suite 3400, Dallas, TX 75201RIA
BD
CRD#: 17587
Dallas, TX
Past
January 2, 2007 - April 23, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
DALLAS, TX
Past
September 25, 2006 - April 23, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DALLAS, TX
Past
April 9, 2004 - July 31, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ADDISON, TX
Past
April 15, 1993 - July 8, 2003
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
DALLAS, TX
Past
April 15, 1993 - July 8, 2003
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 15, 1991 - March 8, 1993
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 24, 1988 - November 26, 1990
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
January 21, 1988 - May 11, 1988
REEVES AND COMPANY, INVESTMENTS AND SECURITIES, INC.
BD
CRD#: 14311
Past
August 7, 1986 - September 14, 1987
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
Past
January 25, 1984 - August 20, 1984
UNITED SECURITIES, INC.
BD
CRD#: 7010
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(6/11/2021)
RR
Alaska(6/11/2021)
RR
Arizona(6/11/2021)
RR
Arkansas(6/11/2021)
RR
California(6/10/2010)
RR
Colorado(6/11/2021)
RR
Connecticut(6/10/2010)
RR
Delaware(6/11/2021)
RR
District of Columbia(6/11/2021)
RR
Florida(6/10/2010)
RR
Georgia(6/11/2021)
RR
Hawaii(6/11/2021)
RR
Idaho(6/11/2021)
RR
Illinois(6/10/2010)
RR
Indiana(6/11/2021)
RR
Iowa(6/11/2021)
RR
Kansas(6/11/2021)
RR
Kentucky(6/11/2021)
RR
Louisiana(6/11/2021)
RR
Maine(6/11/2021)
RR
Maryland(6/11/2021)
RR
Massachusetts(6/11/2021)
RR
Michigan(6/11/2021)
RR
Minnesota(6/11/2021)
RR
Mississippi(6/11/2021)
RR
Missouri(6/11/2021)
RR
Montana(6/11/2021)
RR
Nebraska(6/11/2021)
RR
Nevada(6/11/2021)
RR
New Hampshire(6/11/2021)
RR
New Jersey(6/11/2021)
RR
New Mexico(6/11/2021)
RR
New York(6/10/2010)
RR
North Carolina(6/11/2021)
RR
North Dakota(6/11/2021)
RR
Ohio(6/11/2021)
RR
Oklahoma(6/11/2021)
RR
Oregon(6/11/2021)
RR
Pennsylvania(6/11/2021)
RR
Puerto Rico(6/11/2021)
RR
Rhode Island(6/11/2021)
RR
South Carolina(6/11/2021)
RR
South Dakota(6/11/2021)
RR
Texas(4/6/2009)
IAR
Texas(4/6/2009)
RR
Utah(6/11/2021)
RR
Vermont(6/11/2021)
RR
Virgin Islands(6/11/2021)
RR
Virginia(6/11/2021)
RR
Washington(6/11/2021)
RR
West Virginia(6/11/2021)
RR
Wisconsin(6/11/2021)
RR
Wyoming(6/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product 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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