SF
Stuart W. Ford
HILLTOP SECURITIES
Houston, TX 77002
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CRD#: 1704155
SF
Professional summary
Stuart Wier Ford is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Houston, Texas.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Stuart has worked at 6 firms and has passed the Series 66, Series 63, 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.
1] STATE OF TEXAS TOBACCO SETTLEMENT PERMANENT TRUST ACCOUNT; INVESTMENT RELATED, AUSTIN, TX, TOBACCO SETTLMENT TRUST, CHAIRMAN STARTED MARCH 16, 2000; 1 HR/QTR, 1 HR/QTR DURING BUSINESS HOURS, ADVISE CONTROLLER 2] TEXAS GULF BANK; INVESTMENT RELATED, LAKE JACKSON, TX, BANKING ENTITY - BOARD MEMBER, STARTED APRIL 1, 2007, 4 HRS/MO, 4 HRS/MO DURING BUSINESS HOURS 3] HOSPITALITY APARTMENT; NON-INVESTMENT RELATED, HOUSTON, TX, CHARITY THAT PROVIDES FREE HOUSING FOR FAMILIES IN TREATMENT AT HOUSTON MEDICAL CENTER, TRUSTEE STARTED APRIL 11, 1990, 4 HRS/MO, 4 HRS/YR DURING BUSINESS HOURS 4] CHAPELWOOD METHODIST CHURCH FOUNDATION; NON-INVESTMENT RELATED; HOUSTON, TX, RELIGIOUS ORGANIZATION, BOARD MEMBER, STARTED MAY 1, 2020, 1 HR/MO, ZERO HR/MO DURING BUSINESS HOURS 5] STUART FORD OIL AND GAS EXPLORATION; INVESTMENT RELATED, HOUSTON, TX, OWNER, STARTED AUGUST 5, 1998, 2 HRS/MO, ZERO HRS/MO DURINg BUSINESS HOURS, FUNDING THE EXPLORATION OF OIL AND GAS WELLS AND PRODUCTION 6] Directors Investment Group Inc. (DIG)/Funeral Directors Life (FDLIC); Abilene, TX, Investment Related, life insurance and financial services, Board Member, 5/1/2024, 1 Hrs/Mo, 1 Hrs/Mo during Business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Wier Ford's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stuart Wier Ford'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
September 22, 2017 - Present
HILLTOP SECURITIES INC.
Office #1: 700 Milam Street Suite 1200, Houston, TX 77002RIA
BD
CRD#: 6220
Houston, TX
Current
March 31, 2017 - Present
HILLTOP SECURITIES INC.
Office #1: 700 Milam Street Suite 1200, Houston, TX 77002RIA
BD
CRD#: 6220
Houston, TX
Past
March 1, 1991 - April 10, 2017
COASTAL SECURITIES, INC.
BD
CRD#: 27834
HOUSTON, TX
Past
September 4, 1990 - February 27, 1991
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
BD
CRD#: 22540
Past
September 1, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
BD
CRD#: 101
Past
July 22, 1987 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
BD
CRD#: 10011
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(6/17/2024)
RR
Illinois(11/4/2024)
RR
Louisiana(4/24/2017)
RR
Missouri(6/17/2024)
RR
New Jersey(6/17/2024)
RR
New York(4/24/2017)
RR
Ohio(6/17/2024)
RR
Oklahoma(1/7/2025)
RR
Pennsylvania(8/1/2025)
RR
Texas(3/31/2017)
IAR
Texas(9/22/2017)
RR
Vermont(6/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
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)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 | 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.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Houston, TX 77002TRUST BUT VERIFY
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