KJ
Kelly Jocoy
HILLTOP SECURITIES
Sherman Oaks, CA 91403
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CRD#: 1224751
KJ
Professional summary
Kelly Jocoy is a registered financial professional currently at HILLTOP SECURITIES INC. located in Sherman Oaks, California.
Kelly is registered as a RR (Registered Representative) and started their career in finance in 1984. Kelly has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kelly Jocoy'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 6, 2018 - Present
HILLTOP SECURITIES INC.
Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403RIA
BD
CRD#: 6220
Sherman Oaks, CA
Past
July 28, 2016 - February 28, 2018
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
THOUSAND OAKS, CA
Past
October 21, 2015 - July 7, 2016
HILLTOP SECURITIES INC.
BD
CRD#: 6220
ENCINO, CA
Past
January 29, 1994 - October 30, 2015
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOS ANGELES, CA
Past
May 21, 1993 - January 28, 1994
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
April 7, 1993 - May 20, 1993
MINT BROKERS
BD
CRD#: 13681
NEW YORK, NY
Past
December 23, 1991 - April 2, 1993
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
December 22, 1988 - February 27, 1991
SECURITIES RESOLUTION CORPORATION
BD
CRD#: 7119
MINNEAPOLIS, MN
Past
September 20, 1984 - December 23, 1988
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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(6/16/2021)
RR
Alaska(6/16/2021)
RR
Arizona(6/16/2021)
RR
Arkansas(6/16/2021)
RR
California(3/6/2018)
RR
Colorado(6/16/2021)
RR
Connecticut(6/16/2021)
RR
Delaware(6/16/2021)
RR
District of Columbia(6/16/2021)
RR
Florida(6/16/2021)
RR
Georgia(6/16/2021)
RR
Hawaii(6/16/2021)
RR
Idaho(6/16/2021)
RR
Illinois(6/16/2021)
RR
Indiana(6/16/2021)
RR
Iowa(6/16/2021)
RR
Kansas(6/16/2021)
RR
Kentucky(6/16/2021)
RR
Louisiana(6/16/2021)
RR
Maine(6/16/2021)
RR
Maryland(6/16/2021)
RR
Massachusetts(6/16/2021)
RR
Michigan(6/16/2021)
RR
Minnesota(6/16/2021)
RR
Mississippi(6/16/2021)
RR
Missouri(6/16/2021)
RR
Montana(6/16/2021)
RR
Nebraska(6/16/2021)
RR
Nevada(6/16/2021)
RR
New Hampshire(6/16/2021)
RR
New Jersey(6/16/2021)
RR
New Mexico(6/16/2021)
RR
New York(6/16/2021)
RR
North Carolina(6/16/2021)
RR
North Dakota(6/16/2021)
RR
Ohio(6/16/2021)
RR
Oklahoma(6/16/2021)
RR
Oregon(6/16/2021)
RR
Pennsylvania(6/16/2021)
RR
Puerto Rico(6/16/2021)
RR
Rhode Island(6/16/2021)
RR
South Carolina(6/16/2021)
RR
South Dakota(6/16/2021)
RR
Tennessee(6/16/2021)
RR
Texas(6/16/2021)
RR
Utah(6/16/2021)
RR
Vermont(6/16/2021)
RR
Virgin Islands(6/16/2021)
RR
Virginia(6/16/2021)
RR
Washington(6/16/2021)
RR
West Virginia(6/16/2021)
RR
Wisconsin(6/16/2021)
RR
Wyoming(6/16/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative 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.
