MC
Mark A. Clift
HILLTOP SECURITIES
Dallas, TX 75225
Some features on this profile are disabled
CRD#: 1834415
MC
Professional summary
Mark Allen Clift, who also goes by Mark Clift, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Clift
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)NORTH TEXAS CERTIFIED DEVELOPMENT COMPANY, 1011 EAST PLANO PARKWAY, SUITE A, PLANO, TX 75074; POSITION - STOCK HOLDER. THIS COMPANY, OPERATING UNDER THE SMALL BUSINESS ADMINISTRATION GUIDELINES, PROVIDES LONG TERM LOANS TO SMALL BUSINESSES. 06/01/2006 - ATTEND ANNUAL MEETINGS - COMMISSION IS STOCK DIVIDEND - 0 HRS DRNG BSNSS HRS - 0 HRS DRNG NON BSNSS HRS - NO CONFLICTS OF INTEREST. 2) CATTLE FEEDING AND GROWING - OWNER - STARTED JAN 2011 - DALLAS, TX - ZERO HRS PER BSNSS HRS - 10 HRS PER MONTH DURING NON-BSNSS HRS - NO CONFLICTS OF INTEREST. 3) Woodland Hills Property Owners Association (POA); Non-investment related; Tool, TX; Treasurer; Started 01/14/2022; 2 hrs/mo; zero hrs/mo during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Allen Clift's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Allen Clift'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
April 23, 2003 - Present
HILLTOP SECURITIES INC.
Office #1: 8201 Preston Road Suite 600, Dallas, TX 75225RIA
BD
CRD#: 6220
Dallas, TX
Current
June 7, 2002 - Present
HILLTOP SECURITIES INC.
Office #1: 8201 Preston Road Suite 600, Dallas, TX 75225RIA
BD
CRD#: 6220
Dallas, TX
Past
February 3, 2000 - June 10, 2002
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
DALLAS, TX
Past
February 3, 2000 - June 10, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
November 4, 1994 - February 1, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 21, 1990 - November 9, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 20, 1989 - March 28, 1990
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
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
California(11/11/2002)
RR
Connecticut(9/6/2016)
RR
Florida(12/2/2020)
RR
Georgia(11/18/2022)
IAR
Georgia(11/21/2022)
RR
Illinois(1/21/2015)
RR
Indiana(5/19/2022)
RR
Missouri(5/28/2020)
RR
Montana(4/4/2023)
RR
Nevada(10/24/2022)
RR
New York(1/5/2011)
RR
North Dakota(1/3/2024)
RR
Oklahoma(6/7/2002)
RR
Texas(6/7/2002)
IAR
Texas(4/23/2003)
RR
Virginia(7/6/2023)
Exams
State Security Law Exam
General Industry/Product 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 | 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.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Dallas, TX 75225TRUST BUT VERIFY
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