David M. Kittredge
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.
David Michael Kittredge was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1991. David had worked at 8 firms and has passed the Series 66, Series 63, Series 82TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2023 - August 11, 2025
HILLTOP SECURITIES INC.
July 21, 2022 - April 18, 2023
M FINANCIAL SECURITIES MARKETING, INC.
May 14, 2021 - April 18, 2023
M HOLDINGS SECURITIES, INC.
May 13, 2021 - April 18, 2023
M HOLDINGS SECURITIES, INC.
February 26, 2019 - September 28, 2020
T. ROWE PRICE ASSOCIATES, INC.
October 10, 2017 - September 28, 2020
T. ROWE PRICE INVESTMENT SERVICES, INC.
December 31, 2000 - June 1, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 24, 1998 - December 31, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1998 - December 31, 2000
OSAIC FA, INC.
September 13, 1995 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 27, 1991 - September 13, 1995
LINCOLN FINANCIAL DISTRIBUTORS, 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
Series 82TO
Date: 4/19/2023
Limited Representative-Private Securities OfferingsCurrent 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
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