JA
James S. Alexander
HILLTOP SECURITIES
Chicago, IL 60606
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CRD#: 1999169
JA
Professional summary
James Selby Alexander, who also goes by James S Alexander Jr, James S Alexander, James Selby Alexander Jr, Jim Alexander Jr, is a registered financial professional currently at HILLTOP SECURITIES INC. located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 1990. James has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James S Alexander Jr | James S Alexander | James Selby Alexander Jr | Jim Alexander Jr
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.
CRS (Client Relationship Summary) - BD
Click below to view James Selby Alexander'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
December 3, 2025 - Present
HILLTOP SECURITIES INC.
Office #1: 1 South Wacker Suite 2290, Chicago, IL 60606RIA
BD
CRD#: 6220
Chicago, IL
Past
October 31, 2023 - October 8, 2025
SIEBERT WILLIAMS SHANK & CO., LLC
BD
CRD#: 42568
CHICAGO, IL
Past
June 29, 2015 - July 21, 2023
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CHICAGO, IL
Past
November 6, 2009 - June 30, 2015
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHICAGO, IL
Past
October 25, 2004 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
CHICAGO, IL
Past
October 1, 1998 - August 3, 2004
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
August 23, 1994 - October 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
Past
January 18, 1990 - November 15, 1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
BD
CRD#: 23959
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.
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(12/8/2025)
RR
Alaska(12/12/2025)
RR
Arizona(12/16/2025)
RR
Arkansas(12/11/2025)
RR
California(12/4/2025)
RR
Colorado(12/8/2025)
RR
Connecticut(12/8/2025)
RR
Delaware(12/5/2025)
RR
District of Columbia(12/9/2025)
RR
Florida(12/4/2025)
RR
Georgia(12/4/2025)
RR
Hawaii(12/16/2025)
RR
Idaho(12/3/2025)
RR
Illinois(12/5/2025)
RR
Indiana(12/5/2025)
RR
Iowa(12/5/2025)
RR
Kansas(12/5/2025)
RR
Kentucky(12/5/2025)
RR
Louisiana(12/5/2025)
RR
Maine(12/16/2025)
RR
Maryland(12/12/2025)
RR
Massachusetts(12/3/2025)
RR
Michigan(12/5/2025)
RR
Minnesota(12/5/2025)
RR
Mississippi(12/12/2025)
RR
Missouri(12/8/2025)
RR
Montana(12/12/2025)
RR
Nebraska(12/3/2025)
RR
Nevada(12/8/2025)
RR
New Hampshire(12/8/2025)
RR
New Jersey(12/17/2025)
RR
New Mexico(12/8/2025)
RR
New York(12/8/2025)
RR
North Carolina(12/5/2025)
RR
North Dakota(12/8/2025)
RR
Ohio(12/3/2025)
RR
Oklahoma(12/8/2025)
RR
Oregon(12/3/2025)
RR
Pennsylvania(12/4/2025)
RR
Rhode Island(12/5/2025)
RR
South Carolina(12/9/2025)
RR
South Dakota(12/5/2025)
RR
Tennessee(12/5/2025)
RR
Texas(12/4/2025)
RR
Utah(12/4/2025)
RR
Vermont(12/5/2025)
RR
Virgin Islands(12/9/2025)
RR
Virginia(12/8/2025)
RR
Washington(12/5/2025)
RR
West Virginia(12/8/2025)
RR
Wisconsin(12/8/2025)
RR
Wyoming(12/5/2025)
Exams
State Security Law 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.
