JT
James H. Towne
HILLTOP SECURITIES ASSET MANAGEMENT
Solana Beach, CA 92075
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CRD#: 1848305
JT
Professional summary
James Herbert Towne is a registered financial advisor currently at HILLTOP SECURITIES ASSET MANAGEMENT, LLC located in Solana Beach, California and HILLTOP SECURITIES INC. located in Solana Beach, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 8 firms and has passed the Series 65, Series 66, Series 63, Series 79TO, Series 50, Series 52, Series 79, Series 7, Series 24, Series 53, Series 54 and Series 30 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.
Kestrel ESG; non-investment related; Hood River, OR; Organization that assists municipalities in determining if bond-financed activities are aligned with sector-specific best practices to address greenhouse gas emissions; Board Member; Started May 1, 2021; 2 hrs/yr; zero hrs during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Herbert Towne'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
August 4, 2023 - Present
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
Office #1: 777 S Hwy 101 Suite 104, Solana Beach, CA 92075RIA
CRD#: 110760
Solana Beach, CA
Current
February 13, 2023 - Present
HILLTOP SECURITIES INC.
Office #1: 777 S. Hwy 101 Suite 104, Solana Beach, CA 92075RIA
BD
CRD#: 6220
Solana Beach, CA
Past
October 12, 2023 - May 12, 2025
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
Sherman Oaks, CA
Past
July 2, 2021 - February 16, 2023
CALDWELL SUTTER CAPITAL, INC.
BD
CRD#: 10489
SAUSALITO, CA
Past
May 5, 2015 - March 24, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
MINNEAPOLIS, MN
Past
January 24, 2014 - May 4, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
MINNEAPOLIS, MN
Past
March 9, 2012 - January 14, 2014
OPPENHEIMER & CO. INC.
BD
CRD#: 249
MINNEAPOLIS, MN
Past
September 18, 1996 - January 4, 2008
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
April 3, 1990 - September 14, 1996
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
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".
HS
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)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
Alabama(5/12/2025)
RR
Alaska(5/14/2025)
RR
Arizona(5/13/2025)
RR
Arkansas(5/19/2025)
RR
California(2/13/2023)
IAR
California(10/12/2023)
RR
Colorado(5/13/2025)
RR
Connecticut(5/13/2025)
RR
Delaware(5/14/2025)
RR
District of Columbia(5/13/2025)
RR
Florida(5/23/2024)
RR
Georgia(5/13/2025)
RR
Hawaii(8/8/2025)
RR
Idaho(5/19/2025)
RR
Illinois(5/15/2025)
RR
Indiana(6/9/2025)
RR
Iowa(5/12/2025)
RR
Kansas(5/12/2025)
RR
Kentucky(5/13/2025)
RR
Louisiana(5/12/2025)
RR
Maine(5/16/2025)
RR
Maryland(5/19/2025)
RR
Massachusetts(5/12/2025)
RR
Michigan(5/14/2025)
RR
Minnesota(5/13/2025)
RR
Mississippi(5/13/2025)
RR
Missouri(5/13/2025)
RR
Montana(5/14/2025)
RR
Nebraska(5/13/2025)
RR
Nevada(5/13/2025)
RR
New Hampshire(5/13/2025)
RR
New Jersey(5/22/2025)
RR
New Mexico(5/13/2025)
RR
New York(5/13/2025)
RR
North Carolina(5/13/2025)
RR
North Dakota(5/19/2025)
RR
Ohio(5/13/2025)
RR
Oklahoma(5/13/2025)
RR
Oregon(5/15/2025)
RR
Pennsylvania(5/13/2025)
RR
Puerto Rico(6/3/2025)
RR
Rhode Island(5/13/2025)
RR
South Carolina(5/16/2025)
RR
South Dakota(5/12/2025)
RR
Tennessee(5/13/2025)
IAR
Texas(8/21/2023)
RR
Texas(5/12/2025)
RR
Utah(5/13/2025)
RR
Vermont(5/13/2025)
RR
Virgin Islands(5/20/2025)
RR
Virginia(5/13/2025)
RR
Washington(5/12/2025)
RR
West Virginia(5/15/2025)
RR
Wisconsin(5/13/2025)
RR
Wyoming(6/5/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 4/4/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
HS
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)Upgrade to AdvisorCheck Premium
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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
31
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 54 |
| AUM (Assets Under Management) | $ 31,688,490,690 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
