Daniel W. Grant

HILLTOP SECURITIES ASSET MANAGEMENT

Wells, ME

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CRD#: 1842903

Professional summary

Daniel Wesley Grant III, who also goes by Dan Grant III, Daniel Wesley Grant, is a registered financial advisor currently at HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Wells, Maine and HILLTOP SECURITIES INC. located in Wells, Maine.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Daniel has worked at 8 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Grant Iii | Daniel Wesley Grant

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 Wesley Grant III'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®

None

Experience

Current

June 12, 2013 - Present

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

RIA

CRD#: 110760

Wells, ME

Current

January 22, 2016 - Present

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

Wells, ME

Past

July 27, 2016 - December 13, 2018

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

AUSTIN, TX

Past

June 1, 2011 - January 22, 2016

FIRST SOUTHWEST COMPANY, LLC

CRD#: 316

AUSTIN, TX

Past

January 15, 1994 - April 24, 2010

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

February 26, 1992 - January 18, 1994

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

November 13, 1990 - January 16, 1992

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

January 10, 1990 - September 17, 1990

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

March 21, 1989 - June 13, 1989

HIBBARD BROWN & CO., INC.

CRD#: 18246

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 ASSET MANAGEMENT, LLC

FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC

CRD#: 110760 / SEC#: 801-40189

RIA

Registered Investment Advisory firm - (12/17/1991 Approved)

Maryland

Registered Investment Advisory firm - (3/1/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(1/22/2016)

IAR

Arizona
(12/18/2018)

Florida
(1/22/2016)

IAR

Florida
(3/29/2019)

IAR

Maine
(11/17/2021)

Maine
(5/20/2025)

IAR

Texas
(6/12/2013)

Texas
(1/22/2016)

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 66

Date: 6/11/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/4/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/31/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/28/1998

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

FIRST SOUTHWEST ASSET MANAGEMENT INC | HILLTOP SECURITIES ASSET MANAGEMENT, LLC | FIRST SOUTHWEST ASSET MANAGEMENT, LLC

CRD#: 110760 / SEC#: 801-40189

RIA

Registered Investment Advisory firm - (12/17/1991 Approved)

Maryland

Registered Investment Advisory firm - (3/1/2019 Terminated)

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Contact information

Main Address

717 N. Harwood Street Suite 3400, Dallas, TX 75201

Mailing Address

Phone number

(214) 953-4000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

HSAM DISCLOSURE BROCHURE 03/24/2025 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 31,688,490,690

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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Firm Stability Insights

Daniel W. Grant

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Wesley Grant III's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

FIRST SOUTHWEST COMPANY, LLC

NATIONAL FINANCIAL SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

TD AMERITRADE, INC.

FINANCIAL SQUARE PARTNERS

HIBBARD BROWN & CO., INC.

Primary Firm SEC Registration

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/11/2013

Series 63

Date: 4/4/1989

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/31/2000

Series 7

Date: 3/18/1989

Series 4

Date: 5/28/1998

FINRA

Nasdaq Stock Market

Current Firm

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILLTOP SECURITIES ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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