MR
Michelle M. Rubin
HILLTOP SECURITIES
Austin, TX 78731
Some features on this profile are disabled
CRD#: 1214639
MR
Professional summary
Michelle Massey Rubin, who also goes by Michelle Massey Kuehnert, Michelle Kuehnert, Shelley Kuehnert, Michelle Massey, Michelle Marie Rubin, Michelle Rubin, Shelley Rubin, Rubin, is a registered financial professional currently at HILLTOP SECURITIES INC. located in Austin, Texas.
Michelle is registered as a RR (Registered Representative) and started their career in finance in 1983. Michelle has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 15 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michelle Massey Kuehnert | Michelle Kuehnert | Shelley Kuehnert | Michelle Massey | Michelle Marie Rubin | Michelle Rubin | Shelley Rubin | Rubin
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) - BD
Click below to view Michelle Massey Rubin'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 1, 2021 - Present
HILLTOP SECURITIES INC.
Office #1: 7000 North Mopac Expressway Suite 400, Austin, TX 78731RIA
BD
CRD#: 6220
Austin, TX
Past
February 9, 2017 - December 6, 2019
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
AUSTIN, TX
Past
January 22, 2016 - December 6, 2019
HILLTOP SECURITIES INC.
BD
CRD#: 6220
AUSTIN, TX
Past
February 1, 1996 - January 22, 2016
FIRST SOUTHWEST COMPANY, LLC
BD
CRD#: 316
AUSTIN, TX
Past
April 10, 1990 - February 13, 1996
MASTERSON MORELAND SAUER WHISMAN, INC.
BD
CRD#: 16815
Past
October 2, 1989 - April 9, 1990
APS FINANCIAL CORPORATION
BD
CRD#: 10033
AUSTIN, TX
Past
July 28, 1987 - October 13, 1987
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
July 17, 1986 - March 20, 1987
ROTAN MOSLE INC.
BD
CRD#: 727
Past
December 21, 1983 - January 2, 1986
ROTAN MOSLE INC.
BD
CRD#: 727
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.
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(7/27/2023)
RR
California(7/27/2023)
RR
Colorado(7/27/2023)
RR
District of Columbia(7/27/2023)
RR
Florida(7/27/2023)
RR
Hawaii(7/27/2023)
RR
Illinois(7/27/2023)
RR
Indiana(7/27/2023)
RR
Kansas(7/27/2023)
RR
Kentucky(7/27/2023)
RR
Louisiana(7/27/2023)
RR
Massachusetts(7/27/2023)
RR
Michigan(7/27/2023)
RR
Mississippi(7/27/2023)
RR
Missouri(7/27/2023)
RR
Montana(8/1/2023)
RR
Nevada(7/27/2023)
RR
New Jersey(7/27/2023)
RR
New Mexico(7/27/2023)
RR
New York(7/27/2023)
RR
North Carolina(7/27/2023)
RR
Ohio(7/27/2023)
RR
Oklahoma(7/27/2023)
RR
Pennsylvania(7/27/2023)
RR
Texas(3/1/2021)
RR
Virginia(7/27/2023)
RR
Washington(7/27/2023)
RR
West Virginia(7/27/2023)
RR
Wisconsin(7/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/2/1984
Foreign Currency Options ExaminationGeneral Industry/Product 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.
