Eric L. Herndon

HILLTOP SECURITIES

Chicago, IL 60606

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CRD#: 2049671

Professional summary

Eric Lofgren Herndon, who also goes by Eric Herndon, is a registered financial professional currently at HILLTOP SECURITIES INC. located in Chicago, Illinois.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1992. Eric has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Eric Herndon

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) - BD

Click below to view Eric Lofgren Herndon's CRS (Customer Relationship Summary).

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

August 29, 2019 - Present

HILLTOP SECURITIES INC.

Office #1: 1 South Wacker Suite 2290, Chicago, IL 60606

RIA

CRD#: 6220

Chicago, IL

Past

October 10, 2015 - June 1, 2018

PIPER SANDLER & CO.

CRD#: 665

Chicago, IL

Past

January 31, 2011 - October 29, 2015

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

July 8, 1992 - October 19, 2015

BMO CAPITAL MARKETS GKST INC.

CRD#: 8352

CHICAGO, IL

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)

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.

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

Alabama
(6/11/2021)

Alaska
(6/11/2021)

Arizona
(6/11/2021)

Arkansas
(6/11/2021)

California
(6/11/2021)

Colorado
(6/11/2021)

Connecticut
(6/11/2021)

Delaware
(6/11/2021)

District of Columbia
(6/11/2021)

Florida
(6/11/2021)

Georgia
(6/11/2021)

Hawaii
(6/11/2021)

Idaho
(6/11/2021)

Illinois
(8/29/2019)

Indiana
(6/11/2021)

Iowa
(6/11/2021)

Kansas
(6/11/2021)

Kentucky
(6/11/2021)

Louisiana
(6/11/2021)

Maine
(6/11/2021)

Maryland
(6/11/2021)

Massachusetts
(6/11/2021)

Michigan
(6/11/2021)

Minnesota
(6/11/2021)

Mississippi
(6/11/2021)

Missouri
(6/11/2021)

Montana
(6/11/2021)

Nebraska
(6/11/2021)

Nevada
(6/11/2021)

New Hampshire
(6/11/2021)

New Jersey
(6/11/2021)

New Mexico
(6/11/2021)

New York
(6/11/2021)

North Carolina
(6/11/2021)

North Dakota
(6/11/2021)

Ohio
(6/11/2021)

Oklahoma
(6/11/2021)

Oregon
(6/11/2021)

Pennsylvania
(6/11/2021)

Puerto Rico
(6/11/2021)

Rhode Island
(6/11/2021)

South Carolina
(6/11/2021)

South Dakota
(6/11/2021)

Tennessee
(6/11/2021)

Texas
(6/11/2021)

Utah
(6/11/2021)

Vermont
(6/11/2021)

Virgin Islands
(6/11/2021)

Virginia
(6/11/2021)

Washington
(6/11/2021)

West Virginia
(6/11/2021)

Wisconsin
(6/11/2021)

Wyoming
(6/11/2021)

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.

Exams

State Security Law Exam

Series 63

Date: 8/12/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/7/1992

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 3/27/1990

National Commodity Futures Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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)

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

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HILLTOP HORIZON PROGRAM BROCHURE 11/12/2025 (11/12/2025)

HILLTOP WRAP BROCHURE 08/29/2025 (8/29/2025)

HILLTOP FIRM BROCHURE 08/29/2025 (8/29/2025)

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	CHIEF FINANCIAL OFFICER	4326551
EDGE, JOSEPH MICHAEL	BOARD DIRECTOR	4326551
LEVENTHAL, LAURA	BOARD DIRECTOR	1175259
LEVENTHAL, LAURA	TREASURER/CHIEF ACCOUNTING OFFICER/PRINCIPAL FINANCIAL OFFICER	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	Cover Page	Report
07/26/2024	Cover Page	Report
07/20/2023	Cover Page	Report

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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Eric L. Herndon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Eric Lofgren Herndon's CRS (Customer Relationship Summary).

Certified licenses

Experience

PIPER SANDLER & CO.

BMO CAPITAL MARKETS CORP.

BMO CAPITAL MARKETS GKST INC.

Primary Firm SEC Registration

HILLTOP SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/12/1992

Series 52TO

Date: 1/2/2023

SIE

Date: 6/1/2018

Series 7

Date: 7/7/1992

Series 3

Date: 3/27/1990

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HILLTOP SECURITIES INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HILLTOP SECURITIES INC.

TRUST BUT VERIFY

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