GR
Gilbert H. Ramon
HILLTOP SECURITIES
Houston, TX 77002
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CRD#: 2135146
GR
Professional summary
Gilbert Henry Ramon is a registered financial professional currently at HILLTOP SECURITIES INC. located in Houston, Texas.
Gilbert is registered as a RR (Registered Representative) and started their career in finance in 1991. Gilbert has worked at 9 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Gilbert Henry Ramon'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
October 31, 2019 - Present
HILLTOP SECURITIES INC.
Office #1: 700 Milam Street Suite 1200, Houston, TX 77002RIA
BD
CRD#: 6220
Houston, TX
Past
October 17, 2016 - October 24, 2019
CANTOR FITZGERALD & CO.
BD
CRD#: 134
HOUSTON, TX
Past
November 6, 2009 - August 18, 2016
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
HOUSTON, TX
Past
June 1, 2001 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
HOUSTON, TX
Past
May 9, 1996 - June 13, 2001
J.P. MORGAN SECURITIES OF TEXAS, INC.
BD
CRD#: 17116
HOUSTON, TX
Past
March 22, 1995 - April 17, 1996
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
January 1, 1995 - April 24, 1996
AGF INVESTMENT CORP.
BD
CRD#: 14056
EVANSVILLE, IN
Past
January 17, 1992 - November 23, 1994
AMERICAN CAPITAL MARKETING, INC.
BD
CRD#: 6699
Past
April 8, 1991 - January 28, 1992
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
EDISON, NJ
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(5/4/2021)
RR
Alaska(5/4/2021)
RR
Arizona(5/4/2021)
RR
Arkansas(5/4/2021)
RR
California(5/4/2021)
RR
Colorado(1/2/2020)
RR
Connecticut(5/4/2021)
RR
Delaware(5/4/2021)
RR
District of Columbia(5/4/2021)
RR
Florida(5/4/2021)
RR
Georgia(5/4/2021)
RR
Hawaii(5/4/2021)
RR
Idaho(5/4/2021)
RR
Illinois(5/4/2021)
RR
Indiana(5/4/2021)
RR
Iowa(5/4/2021)
RR
Kansas(5/4/2021)
RR
Kentucky(5/4/2021)
RR
Louisiana(5/4/2021)
RR
Maine(5/4/2021)
RR
Maryland(5/4/2021)
RR
Massachusetts(5/4/2021)
RR
Michigan(5/4/2021)
RR
Minnesota(5/4/2021)
RR
Mississippi(5/4/2021)
RR
Missouri(5/4/2021)
RR
Montana(5/4/2021)
RR
Nebraska(5/4/2021)
RR
Nevada(5/4/2021)
RR
New Hampshire(5/4/2021)
RR
New Jersey(5/4/2021)
RR
New Mexico(1/2/2020)
RR
New York(5/4/2021)
RR
North Carolina(5/4/2021)
RR
North Dakota(5/4/2021)
RR
Ohio(5/5/2021)
RR
Oklahoma(1/2/2020)
RR
Oregon(5/4/2021)
RR
Pennsylvania(5/4/2021)
RR
Puerto Rico(7/2/2023)
RR
Rhode Island(5/4/2021)
RR
South Carolina(5/4/2021)
RR
South Dakota(5/4/2021)
RR
Tennessee(5/4/2021)
RR
Texas(10/31/2019)
RR
Utah(7/6/2020)
RR
Vermont(5/4/2021)
RR
Virgin Islands(7/2/2023)
RR
Virginia(7/6/2020)
RR
Washington(5/4/2021)
RR
West Virginia(5/4/2021)
RR
Wisconsin(5/4/2021)
RR
Wyoming(5/4/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product 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.
Company Information
HILLTOP SECURITIES INC.
CRD#: 6220Houston, TX 77002TRUST BUT VERIFY
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