Brent W. Yarbrough
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brent Warren Yarbrough, who also goes by Brent Yarbrough, was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 1988. Brent had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2013 - March 19, 2015
HILLTOP SECURITIES INC.
December 13, 2013 - March 19, 2015
HILLTOP SECURITIES INC.
February 13, 2013 - December 18, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - December 18, 2013
RAYMOND JAMES & ASSOCIATES, INC.
June 12, 2009 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
June 5, 2009 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
June 18, 2004 - June 12, 2009
CHASE INVESTMENT SERVICES CORP.
June 2, 2004 - June 12, 2009
CHASE INVESTMENT SERVICES CORP.
October 1, 1999 - May 3, 2004
STEPHENS
October 1, 1999 - May 3, 2004
STEPHENS
May 11, 1998 - November 3, 1999
WELLS FARGO CLEARING SERVICES, LLC
January 9, 1997 - May 11, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
October 4, 1995 - December 23, 1996
RODMAN & RENSHAW INC.
September 18, 1989 - May 25, 1995
J.P. MORGAN SECURITIES LLC
September 20, 1988 - September 29, 1989
ROTAN MOSLE INC.
Primary Firm SEC Registration
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
Contact information
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.
