David W. Treat

HILLTOP SECURITIES

Houston, TX 77002

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CRD#: 1288912

Professional summary

David Wayne Treat, who also goes by D Wayne Treat, is a registered financial professional currently at HILLTOP SECURITIES INC. located in Houston, Texas.

David is registered as a RR (Registered Representative) and started their career in finance in 1984. David has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

D Wayne Treat

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Wayne Treat's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 18, 2025 - Present

HILLTOP SECURITIES INC.

Office #1: 700 Milam Street Suite 1200, Houston, TX 77002

RIA

CRD#: 6220

Houston, TX

Past

January 3, 2011 - October 28, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HOUSTON, TX

Past

January 3, 2011 - October 28, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HOUSTON, TX

Past

January 31, 2003 - December 31, 2003

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

January 26, 2001 - April 26, 2001

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

December 13, 2000 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

HOUSTON, TX

Past

December 13, 2000 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

HOUSTON, TX

Past

April 12, 2000 - December 13, 2000

WELLS FARGO BROKERAGE SERVICES, L.L.C.

CRD#: 16100

MINNEAPOLIS, MN

Past

October 30, 1996 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

May 6, 1996 - November 13, 1996

SOUTHSTATE SECURITIES CORP.

CRD#: 6950

MEMPHIS (SHELBY), TN

Past

October 31, 1995 - April 25, 1996

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

May 24, 1995 - September 28, 1995

VANGUARD CAPITAL

CRD#: 22081

DEL MAR, CA

Past

November 16, 1994 - March 10, 1995

BANK SOUTH SECURITIES CORPORATION

CRD#: 27268

Past

March 23, 1993 - October 17, 1994

COASTAL SECURITIES, INC.

CRD#: 27834

HOUSTON, TX

Past

January 1, 1991 - April 1, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 14, 1990 - January 1, 1991

ROTAN MOSLE INC.

CRD#: 727

Past

July 19, 1988 - August 15, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

September 1, 1987 - July 23, 1988

BOETTCHER & COMPANY, INC.

CRD#: 101

Past

June 28, 1985 - September 1, 1987

LOVETT MITCHELL WEBB & GARRISON, INC.

CRD#: 10011

Past

August 22, 1984 - June 28, 1985

MASTER SANFORD COON WARD HOLLAND INC.

CRD#: 14509

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/24/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/12/2007

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 11/9/2007

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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)

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

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HILLTOP HORIZON PROGRAM BROCHURE 11/12/2025 (11/12/2025)

HILLTOP WRAP BROCHURE 08/29/2025 (8/29/2025)

HILLTOP FIRM BROCHURE 08/29/2025 (8/29/2025)

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	Cover Page	Report
07/26/2024	Cover Page	Report
07/20/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David W. Treat

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Wayne Treat's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO BROKERAGE SERVICES, L.L.C.

WELLS FARGO SECURITIES INC.

SOUTHSTATE SECURITIES CORP.

JOSEPHTHAL & CO., INC.

VANGUARD CAPITAL

BANK SOUTH SECURITIES CORPORATION

COASTAL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

ROTAN MOSLE INC.

MORGAN STANLEY DW INC.

BOETTCHER & COMPANY, INC.

LOVETT MITCHELL WEBB & GARRISON, INC.

MASTER SANFORD COON WARD HOLLAND INC.

Primary Firm SEC Registration

HILLTOP SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/1998

Series 63

Date: 7/25/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 9

Date: 11/12/2007

Series 10

Date: 11/9/2007

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HILLTOP SECURITIES INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HILLTOP SECURITIES INC.

TRUST BUT VERIFY

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