Daniel L. Collins

HILLTOP SECURITIES

Plano, TX 75024

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CRD#: 1682785

Professional summary

Daniel Lester Collins is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Plano, Texas.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Daniel has worked at 15 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Daniel Lester Collins's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Daniel Lester Collins'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

December 16, 2022 - Present

HILLTOP SECURITIES INC.

Office #1: 5601 Granite Parkway Suite 305, Plano, TX 75024

RIA

CRD#: 6220

Plano, TX

Current

December 16, 2022 - Present

HILLTOP SECURITIES INC.

Office #1: 5601 Granite Parkway Suite 305, Plano, TX 75024

RIA

CRD#: 6220

Plano, TX

Past

August 19, 2021 - December 19, 2022

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

ROWLETT, TX

Past

August 16, 2021 - December 19, 2022

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

ROWLETT, TX

Past

May 16, 2013 - August 16, 2021

BBVA SECURITIES INC.

CRD#: 27060

ROWLETT, TX

Past

October 15, 2010 - August 17, 2021

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

MESQUITE, TX

Past

September 15, 2010 - October 15, 2010

ST JOHNS WEALTH MANAGEMENT

RIA

CRD#: 105564

MESQUITE, TX

Past

May 13, 2004 - March 10, 2010

BBVA COMPASS INVESTMENT SOLUTIONS, INC

RIA

CRD#: 17086

MESQUITE, TX

Past

January 2, 1997 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

MESQUITE, TX

Past

August 19, 1996 - December 13, 1996

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

September 18, 1995 - August 19, 1996

FIRST INTERSTATE INVESTMENTS,INC.

CRD#: 17101

Past

February 16, 1994 - November 17, 1995

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

July 15, 1991 - November 23, 1993

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

October 10, 1990 - July 23, 1991

CITICORP FINANCIAL SERVICES,INC.

CRD#: 14675

Past

July 26, 1990 - October 17, 1990

FINANCIAL HORIZONS SECURITIES CORPORATION

CRD#: 20221

Past

February 12, 1990 - May 3, 1990

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

July 19, 1988 - February 14, 1990

J. T. MORAN & CO., INC.

CRD#: 15655

Past

October 1, 1987 - May 23, 1988

SHERWOOD CAPITAL, INC.

CRD#: 10474

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Maryland
(12/16/2022)

New York
(12/16/2022)

IAR

New York
(6/7/2023)

North Carolina
(12/16/2022)

Tennessee
(9/3/2025)

Texas
(12/16/2022)

IAR

Texas
(12/16/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 8/24/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative 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

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.

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Daniel L. Collins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Lester Collins's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel Lester Collins's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

BBVA SECURITIES INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

ST JOHNS WEALTH MANAGEMENT

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BBVA COMPASS INVESTMENT SOLUTIONS, INC

WELLS FARGO SECURITIES INC.

FIRST INTERSTATE INVESTMENTS,INC.

ESSEX NATIONAL SECURITIES, LLC

IFMG SECURITIES, INC.

CITICORP FINANCIAL SERVICES,INC.

FINANCIAL HORIZONS SECURITIES CORPORATION

VANDERBILT SECURITIES, INC.

J. T. MORAN & CO., INC.

SHERWOOD CAPITAL, INC.

Primary Firm SEC Registration

HILLTOP SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/24/1987

Series 72

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1987

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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