JA
John K. Abely
HILLTOP SECURITIES
NEW YORK, NY 10022
CRD#: 2053713
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JA
John Kenneth Abely JRHILLTOP SECURITIES
Professional summary
John Kenneth Abely JR, who also goes by John K Abely, John Kenneth Abley Jr, is a registered financial professional currently at HILLTOP SECURITIES INC. located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1990. John has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John K Abely | John Kenneth Abley 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 John Kenneth Abely JR'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
June 1, 2026 - Present
HILLTOP SECURITIES INC.
Office #1: 485 Madison Ave. Suite 1800, New York, NY 10022RIA
BD
CRD#: 6220
NEW YORK, NY
Past
September 6, 2023 - April 27, 2026
BREAN CAPITAL, LLC
BD
CRD#: 23723
SUMMIT, NJ
Past
November 4, 2009 - July 17, 2023
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
New York, NY
Past
February 5, 2008 - November 6, 2009
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
February 1, 2008 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
BD
CRD#: 6579
NEW YORK, NY
Past
May 9, 2005 - January 17, 2008
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK, NY
Past
February 21, 2002 - April 12, 2005
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
December 23, 2000 - February 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
October 7, 1993 - December 13, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 25, 1990 - October 13, 1993
CITICORP SECURITIES, INC.
BD
CRD#: 7474
NEW YORK, NY
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(6/1/2026)
RR
Alaska(6/1/2026)
RR
Arizona(6/1/2026)
RR
Arkansas(6/1/2026)
RR
California(6/1/2026)
RR
Colorado(6/1/2026)
RR
Connecticut(6/1/2026)
RR
Delaware(6/1/2026)
RR
District of Columbia(6/1/2026)
RR
Florida(6/1/2026)
RR
Georgia(6/1/2026)
RR
Hawaii(6/1/2026)
RR
Idaho(6/1/2026)
RR
Illinois(6/1/2026)
RR
Indiana(6/1/2026)
RR
Iowa(6/1/2026)
RR
Kansas(6/1/2026)
RR
Kentucky(6/1/2026)
RR
Louisiana(6/1/2026)
RR
Maine(6/1/2026)
RR
Maryland(6/1/2026)
RR
Massachusetts(6/1/2026)
RR
Michigan(6/1/2026)
RR
Minnesota(6/1/2026)
RR
Mississippi(6/1/2026)
RR
Missouri(6/1/2026)
RR
Montana(6/1/2026)
RR
Nebraska(6/1/2026)
RR
Nevada(6/1/2026)
RR
New Hampshire(6/1/2026)
RR
New Jersey(6/1/2026)
RR
New Mexico(6/1/2026)
RR
New York(6/1/2026)
RR
North Carolina(6/1/2026)
RR
North Dakota(6/1/2026)
RR
Ohio(6/1/2026)
RR
Oklahoma(6/1/2026)
RR
Oregon(6/1/2026)
RR
Pennsylvania(6/1/2026)
RR
Puerto Rico(6/1/2026)
RR
Rhode Island(6/1/2026)
RR
South Carolina(6/1/2026)
RR
South Dakota(6/1/2026)
RR
Tennessee(6/1/2026)
RR
Texas(6/1/2026)
RR
Utah(6/1/2026)
RR
Vermont(6/1/2026)
RR
Virgin Islands(6/1/2026)
RR
Virginia(6/1/2026)
RR
Washington(6/1/2026)
RR
West Virginia(6/1/2026)
RR
Wisconsin(6/1/2026)
RR
Wyoming(6/1/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
