Carl L. Giles
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carl Lynn Giles was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1974. Carl had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 55, PC, Series 000, Series 1, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - November 16, 2017
HILLTOP SECURITIES INC.
January 18, 2008 - November 26, 2018
HILLTOP SECURITIES ASSET MANAGEMENT, LLC
October 29, 2004 - January 22, 2016
FIRST SOUTHWEST COMPANY, LLC
February 22, 1997 - May 6, 1997
A. G. EDWARDS & SONS, INC.
March 9, 1995 - February 18, 1997
AVANTAX INVESTMENT SERVICES, INC.
June 11, 1991 - January 12, 1995
CAPIS
December 15, 1980 - February 13, 1990
ALEX. BROWN & SONS INCORPORATED
March 6, 1979 - December 28, 1980
DREXEL BURNHAM LAMBERT INCORPORATED
September 16, 1977 - March 22, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 14, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
March 6, 1974 - June 9, 1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
January 23, 1974 - May 8, 1974
DUPONT WALSTON, INCORPORATED
Primary Firm SEC Registration
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/8/2005
Limited Representative-Equity Trader ExamPC
Date: 7/22/1994
AMEX Put and Call ExamSeries 000
Date: 1/15/1974
General Securities Principal ExaminationSeries 1
Date: 1/15/1974
Registered Representative ExaminationCurrent Firm
HILLTOP SECURITIES INC.
CRD#: 6220 / SEC#: 801-55529, 8-45123
Contact information
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.
