Benjamin B. Northcutt
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.
Benjamin Brad Northcutt was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1987. Benjamin had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, SIE, Series 50, Series 3, Series 7, Series 24, Series 10, Series 9, Series 51, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2006 - September 8, 2020
HILLTOP SECURITIES INC.
September 6, 2006 - September 8, 2020
HILLTOP SECURITIES INC.
March 1, 2000 - August 8, 2006
THOMAS WEISEL PARTNERS LLC
February 22, 2000 - August 8, 2006
THOMAS WEISEL PARTNERS LLC
April 21, 1995 - February 18, 2000
LEHMAN BROTHERS INC.
January 10, 1994 - March 29, 1995
CREDIT SUISSE SECURITIES (USA) LLC
July 31, 1993 - January 31, 1994
CITIGROUP GLOBAL MARKETS INC.
March 13, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
May 7, 1990 - March 16, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
September 7, 1989 - March 16, 1992
SUNAMERICA SECURITIES, INC.
June 26, 1987 - September 12, 1989
FIRST EQUITY MANAGEMENT SYSTEMS, 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 7TO
Date: 4/7/2024
General Securities Representative ExaminationSeries 99TO
Date: 4/7/2024
Operations Professional ExaminationSeries 8
Date: 5/22/1992
General Securities Sales Supervisor Examination (Options Module & General Module)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.
