DT
Daniel C. Tracy
HILLTOP SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 1536069
DT
Professional summary
Daniel Carl Tracy, who also goes by Daniel C Tracy, is a registered financial professional currently at HILLTOP SECURITIES INC. located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1986. Daniel has worked at 9 firms and has passed the Series 63, SIE, Series 52 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel C Tracy
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Carl Tracy's 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®
NoneExperience
Current
January 22, 2016 - Present
HILLTOP SECURITIES INC.
Office #1: 485 Madison Ave. Suite 1800, New York, NY 10022RIA
BD
CRD#: 6220
New York, NY
Past
April 21, 2014 - January 22, 2016
FIRST SOUTHWEST COMPANY, LLC
BD
CRD#: 316
NEW YORK, NY
Past
July 10, 2012 - April 22, 2014
WILLIAM BLAIR
BD
CRD#: 1252
NEW YORK, NY
Past
February 24, 2000 - July 10, 2012
PRAGER & CO., LLC
BD
CRD#: 21567
NEW YORK, NY
Past
March 23, 1994 - January 24, 2000
MINT BROKERS
BD
CRD#: 13681
NEW YORK, NY
Past
November 1, 1993 - January 14, 2000
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
Past
June 7, 1990 - February 2, 1993
J.J. KENNY DRAKE, INC.
BD
CRD#: 7118
NEW YORK, NY
Past
February 2, 1989 - June 12, 1990
TITUS & DONNELLY LLC
BD
CRD#: 7033
NEW YORK, NY
Past
September 18, 1986 - January 24, 1989
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
BD
CRD#: 10780
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)BD
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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/18/2021)
RR
Alaska(6/18/2021)
RR
Arizona(6/18/2021)
RR
Arkansas(6/18/2021)
RR
California(6/18/2021)
RR
Colorado(6/18/2021)
RR
Connecticut(6/18/2021)
RR
Delaware(6/18/2021)
RR
District of Columbia(6/18/2021)
RR
Florida(6/18/2021)
RR
Georgia(6/18/2021)
RR
Hawaii(6/18/2021)
RR
Idaho(6/18/2021)
RR
Illinois(6/18/2021)
RR
Indiana(6/18/2021)
RR
Iowa(6/18/2021)
RR
Kansas(6/18/2021)
RR
Kentucky(6/18/2021)
RR
Louisiana(6/18/2021)
RR
Maine(6/18/2021)
RR
Maryland(6/18/2021)
RR
Massachusetts(6/18/2021)
RR
Michigan(6/18/2021)
RR
Minnesota(6/18/2021)
RR
Mississippi(6/18/2021)
RR
Missouri(6/18/2021)
RR
Montana(6/18/2021)
RR
Nebraska(6/18/2021)
RR
Nevada(6/18/2021)
RR
New Hampshire(6/18/2021)
RR
New Jersey(6/18/2021)
RR
New Mexico(6/18/2021)
RR
New York(1/22/2016)
RR
North Carolina(6/18/2021)
RR
North Dakota(6/18/2021)
RR
Ohio(6/21/2021)
RR
Oklahoma(6/18/2021)
RR
Oregon(6/18/2021)
RR
Pennsylvania(6/18/2021)
RR
Puerto Rico(6/18/2021)
RR
Rhode Island(6/18/2021)
RR
South Carolina(6/18/2021)
RR
South Dakota(6/18/2021)
RR
Tennessee(6/18/2021)
RR
Texas(6/18/2021)
RR
Utah(6/18/2021)
RR
Vermont(6/18/2021)
RR
Virgin Islands(6/18/2021)
RR
Virginia(6/18/2021)
RR
Washington(6/18/2021)
RR
West Virginia(6/18/2021)
RR
Wisconsin(6/18/2021)
RR
Wyoming(6/18/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)BD
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
91
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.
