Kyle R. Franklin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kyle Robert Franklin was a registered financial professional .
Kyle is a previously registered financial professional and started their career in finance in 1984. Kyle had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2017 - August 22, 2019
HILLTOP SECURITIES INC.
February 1, 2017 - August 22, 2019
HILLTOP SECURITIES INC.
October 18, 2013 - February 1, 2017
FIRST ALLIED ADVISORY SERVICES, INC.
October 11, 2013 - February 1, 2017
FIRST ALLIED SECURITIES, INC.
June 11, 2010 - October 15, 2013
CETERA ADVISORS LLC
June 11, 2010 - October 15, 2013
CETERA ADVISORS LLC
January 9, 2009 - June 15, 2010
NEXT FINANCIAL GROUP, INC.
January 9, 2009 - June 15, 2010
NEXT FINANCIAL GROUP, INC.
August 13, 2008 - January 9, 2009
CETERA WEALTH SERVICES, LLC
August 13, 2008 - January 9, 2009
CETERA WEALTH SERVICES, LLC
March 5, 2002 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
February 19, 2002 - August 13, 2008
PENSION PLANNERS SECURITIES, INC.
March 10, 2000 - February 21, 2002
PRUDENTIAL EQUITY GROUP, LLC
April 14, 1997 - March 10, 2000
WELLS FARGO CLEARING SERVICES, LLC
February 7, 1994 - May 5, 1997
MORGAN STANLEY DW INC.
August 7, 1987 - February 9, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 27, 1985 - August 19, 1987
THOMSON MCKINNON SECURITIES INC.
May 30, 1984 - January 21, 1986
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
Contact information
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.
