Steven Kenny

HILLTOP SECURITIES

Dallas, TX 75225

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CRD#: 1714026

Professional summary

Steven Kenny is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Steven has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31 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] 1119 Partners, LLC; Investment Related, 6417 Centennial Ct. Nichols Hills, OK 73116, LLC, Member, 1/1/2009, 4 hrs/mo Non-Business Hrs, 0 hrs/mo Trading Hrs, Member of the LLC, which is used for private investments.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Kenny's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Steven Kenny'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

August 30, 2024 - Present

HILLTOP SECURITIES INC.

Office #1: 8201 Preston Rd. Suite 600, Dallas, TX 75225

RIA

CRD#: 6220

Dallas, TX

Current

August 30, 2024 - Present

HILLTOP SECURITIES INC.

Office #1: 8201 Preston Rd. Suite 600, Dallas, TX 75225

RIA

CRD#: 6220

Dallas, TX

Past

February 17, 2021 - September 4, 2024

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

DALLAS, TX

Past

February 17, 2021 - September 4, 2024

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

DALLAS, TX

Past

May 6, 2016 - February 17, 2021

BB&T SECURITIES, LLC

RIA

CRD#: 142785

RICHMOND, VA

Past

May 6, 2016 - February 17, 2021

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

September 29, 2006 - May 20, 2016

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

DALLAS, TX

Past

September 29, 2006 - May 20, 2016

RBC CAPITAL MARKETS, LLC

CRD#: 31194

DALLAS, TX

Past

January 17, 2003 - October 26, 2006

CREDIT SUISSE SECURITIES (USA) LLC

RIA

CRD#: 816

DALLAS, TX

Past

January 17, 2003 - October 26, 2006

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

DALLAS, TX

Past

March 8, 2001 - September 16, 2002

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

February 14, 2001 - January 17, 2003

PERSHING LLC

RIA

CRD#: 7560

DALLAS, TX

Past

February 14, 2001 - January 17, 2003

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

August 14, 2000 - March 9, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 3, 1998 - August 14, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

Past

September 1, 1997 - January 14, 1998

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

December 16, 1991 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

May 27, 1988 - January 6, 1992

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

January 20, 1988 - April 5, 1988

CULLUM & SANDOW, INC.

CRD#: 7646

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

Florida
(3/5/2025)

IAR

Florida
(3/5/2025)

Kentucky
(3/3/2025)

IAR

Kentucky
(3/3/2025)

Missouri
(8/30/2024)

Oklahoma
(8/30/2024)

IAR

Oklahoma
(9/3/2024)

Texas
(8/30/2024)

IAR

Texas
(8/30/2024)

Wyoming
(6/16/2025)

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

IAR

Series 65

Date: 12/22/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/2/2009

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

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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Steven Kenny

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Kenny's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Steven Kenny's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

PERSHING LLC

UBS FINANCIAL SERVICES INC.

J.C. BRADFORD & CO.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

J.P. MORGAN SECURITIES LLC

CULLUM & SANDOW, INC.

Primary Firm SEC Registration

HILLTOP SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1997

Series 63

Date: 3/3/1988

SIE

Date: 10/1/2018

Series 31

Date: 4/2/2009

Series 7

Date: 1/16/1988

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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