WD
Wayne E. Daugherty
HILLTOP SECURITIES
Austin, TX 78731
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CRD#: 2227552
WD
Professional summary
Wayne Evan Daugherty is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Austin, Texas.
Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Wayne has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Rental 236 Fannin - My wife owns the rental house, I assist with some maintenance - No compensation - Hewitt Texas - start date 07/13/2015 - no conflicts of interest 2)Rental 4205 - Property owned by my wife prior to marriage and is a home that is rented. I do some maintenance and upkeep of house - 1 hour per month during business hours - 2 hours per month during non-business hours - start date 01/01/2000 - Austin, TX - no conflicts of interest 3)Splash Designs of Austin - This is my wife's business. She designs, sews, constructs and assembles the following: men's straight and bow ties, leisure shirts, crochets hats, boot tops, gloves, and quilts blankets - husband who moves items as needed - no compensation - 4 hours per month during non business hours - China Sprint, TX - no conflicts of interest 4)3910 rental property - converting previous home to rental property. My duties will be maintenance, finding renter, collecting rent - joint owner with my wife - joint owner with my wife - rental income - 1 hours per month during business hours - 2 hour every 2 weeks during non business hours - 03/15/2017 - Austin, TX - no conflicts of interest. 5) Family Owned Business selling fresh eggs, China Spring, TX - Started 2018 - No conflicts of interest 6) Pomegranates - Currently there are 125 pomegranate trees planted May 2017. They should be producing in 2021 and the fruit will be sold. No conflicts of interest
CRS (Client Relationship Summary) - RIA
Click below to view Wayne Evan Daugherty's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Wayne Evan Daugherty'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 23, 2015 - Present
HILLTOP SECURITIES INC.
Office #1: 7000 North Mopac Expressway Suite 400, Austin, TX 78731RIA
BD
CRD#: 6220
Austin, TX
Current
October 23, 2015 - Present
HILLTOP SECURITIES INC.
Office #1: 7000 North Mopac Expressway Suite 400, Austin, TX 78731RIA
BD
CRD#: 6220
Austin, TX
Past
March 18, 1997 - October 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AUSTIN, TX
Past
March 18, 1997 - October 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AUSTIN, TX
Past
January 30, 1995 - March 13, 1997
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
APPLETON, WI
Past
May 1, 1992 - January 31, 1995
HILLTOP SECURITIES INC.
BD
CRD#: 6220
DALLAS, TX
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
Indiana(10/26/2015)
IAR
Indiana(10/26/2015)
RR
North Carolina(11/30/2020)
IAR
North Carolina(12/1/2020)
RR
Texas(10/23/2015)
IAR
Texas(10/23/2015)
Exams
State Security Law Exam
State Security Law Exam
General 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.
