Tobith W. Mckenzie
Professional summary
Tobith Walker Mckenzie, who also goes by Tobith Anne Mckenzie, Tobi Walker, Tobith Anne Walker, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Austin, Texas.
Tobith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Tobith has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tobith Walker Mckenzie's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tobith Walker Mckenzie's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 5, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 7000 North Mopac Expressway Suite 400, Austin, TX 78731July 5, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 7000 North Mopac Expressway Suite 400, Austin, TX 78731September 20, 2021 - March 23, 2022
PNC WEALTH MANAGEMENT LLC
September 20, 2021 - March 23, 2022
PNC WEALTH MANAGEMENT LLC
November 11, 2015 - January 3, 2020
COMERICA SECURITIES
November 11, 2015 - January 3, 2020
COMERICA SECURITIES
December 17, 2013 - November 5, 2015
B. RILEY WEALTH MANAGEMENT
August 19, 2013 - November 5, 2015
B. RILEY WEALTH MANAGEMENT
October 26, 1990 - April 30, 1996
BANC ONE SECURITIES CORPORATION
September 7, 1990 - October 26, 1990
MBANK CAPITAL MARKETS, INC.
April 29, 1987 - April 12, 1990
ROTAN MOSLE 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
(7/5/2023)
(7/5/2023)
Exams
FINRA
Nasdaq Stock Market
New York Stock Exchange
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 | 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.
