Faith A. Reiner
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.
Faith Alfreda Reiner was a registered financial professional .
Faith is a previously registered financial professional and started their career in finance in 1986. Faith had worked at 11 firms and has passed the Series 66, Series 65, Series 63, Series 55, Series 7, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2012 - August 15, 2012
HILLTOP SECURITIES INC.
August 7, 2012 - August 15, 2012
HILLTOP SECURITIES INC.
September 10, 2008 - March 14, 2011
HARRISDIRECT LLC
March 27, 2008 - March 14, 2011
E*TRADE SECURITIES LLC
August 17, 2007 - March 26, 2008
CHARLES SCHWAB & CO., INC.
September 15, 2006 - December 7, 2007
CYBERTRADER, INC.
July 7, 2005 - November 10, 2005
QUEST CAPITAL STRATEGIES, INC.
January 7, 2002 - July 7, 2003
MURIEL SIEBERT & CO., LLC
October 12, 2001 - December 6, 2001
QUEST CAPITAL STRATEGIES, INC.
December 4, 2000 - July 16, 2001
QUICK & REILLY, INC.
January 6, 1994 - August 23, 2000
CHARLES SCHWAB & CO., INC.
May 16, 1991 - November 29, 1993
TD AMERITRADE, INC.
October 19, 1989 - June 12, 1991
CITICORP FINANCIAL SERVICES,INC.
April 23, 1986 - October 15, 1987
REVERE SECURITIES LLC
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 55
Date: 11/24/2001
Limited Representative-Equity Trader ExamCurrent 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 | CHIEF FINANCIAL OFFICER | 4326551 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| LEVENTHAL, LAURA | TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER | 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.
