William F. Kellogg
HILLTOP SECURITIES
Dallas, TX 75225
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CRD#: 2098373
Professional summary
William Fredric Kellogg JR, CFP®, who also goes by Ric Kellogg, is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Dallas, Texas.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. William has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ric Kellogg
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.
1] Anchor Property Holdings LLC; Colleyville TX, Real estate holding company, Non-investment related, Managing member I am a managing member of this organization that was formed to hold real estate rental property for myself and my spouse, , Started 10/27/2023, Zero hours month, 2] Common Ground Consortium; Frisco, TX, Non-Profit Non-Investment related, Board Member, Non Compensation, July 30 2024, one hour month/ Zero during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view William Fredric Kellogg JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view William Fredric Kellogg 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®
CFP®
Start date: 2009
Experience
Current
July 8, 2019 - Present
HILLTOP SECURITIES INC.
Office #1: 8201 Preston Rd. Suite 600, Dallas, TX 75225RIA
BD
CRD#: 6220
Dallas, TX
Current
July 8, 2019 - Present
HILLTOP SECURITIES INC.
Office #1: 8201 Preston Rd. Suite 600, Dallas, TX 75225RIA
BD
CRD#: 6220
Dallas, TX
Past
April 5, 2018 - July 9, 2019
IHT WEALTH MANAGEMENT LLC
RIA
CRD#: 171481
Southlake, TX
Past
March 29, 2018 - July 12, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
IRVING, TX
Past
May 6, 2005 - April 3, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DALLAS, TX
Past
May 6, 2005 - April 3, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DALLAS, TX
Past
August 9, 2000 - May 11, 2005
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LAS VEGAS, NV
Past
December 21, 1995 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
December 21, 1995 - May 11, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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.
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(3/5/2020)
RR
Alaska(3/5/2020)
RR
Arizona(8/26/2019)
IAR
Arizona(8/29/2019)
RR
Arkansas(3/5/2020)
RR
California(7/8/2019)
IAR
California(7/8/2019)
RR
Colorado(3/5/2020)
RR
Connecticut(3/5/2020)
RR
Delaware(3/5/2020)
RR
District of Columbia(3/5/2020)
RR
Florida(7/8/2019)
IAR
Florida(7/9/2019)
RR
Georgia(3/5/2020)
RR
Hawaii(3/5/2020)
RR
Idaho(3/5/2020)
RR
Illinois(3/5/2020)
RR
Indiana(3/5/2020)
RR
Iowa(3/5/2020)
RR
Kansas(3/5/2020)
RR
Kentucky(3/5/2020)
RR
Louisiana(3/5/2020)
RR
Maine(3/5/2020)
RR
Maryland(3/5/2020)
RR
Massachusetts(3/5/2020)
IAR
Massachusetts(6/4/2025)
RR
Michigan(3/5/2020)
RR
Minnesota(3/5/2020)
RR
Mississippi(3/5/2020)
RR
Missouri(3/5/2020)
RR
Montana(3/5/2020)
RR
Nebraska(8/19/2019)
IAR
Nebraska(8/19/2019)
RR
Nevada(7/8/2019)
IAR
Nevada(7/18/2019)
RR
New Hampshire(3/5/2020)
RR
New Jersey(3/5/2020)
RR
New Mexico(3/5/2020)
RR
New York(3/5/2020)
RR
North Carolina(3/5/2020)
IAR
North Carolina(4/26/2024)
RR
North Dakota(3/5/2020)
RR
Ohio(3/5/2020)
RR
Oklahoma(3/5/2020)
IAR
Oklahoma(6/12/2023)
RR
Oregon(3/5/2020)
RR
Pennsylvania(3/5/2020)
IAR
Pennsylvania(6/12/2023)
RR
Puerto Rico(3/5/2020)
RR
Rhode Island(3/5/2020)
RR
South Carolina(3/5/2020)
RR
South Dakota(3/5/2020)
RR
Tennessee(3/22/2023)
RR
Texas(7/8/2019)
IAR
Texas(7/8/2019)
RR
Utah(7/8/2019)
IAR
Utah(7/10/2019)
RR
Vermont(3/5/2020)
RR
Virginia(3/5/2020)
RR
Washington(3/5/2020)
RR
West Virginia(3/5/2020)
RR
Wisconsin(3/5/2020)
RR
Wyoming(3/5/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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
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 | 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 | ||
| 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.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Dallas, TX 75225TRUST BUT VERIFY
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