MN
Michael R. Natzic
HILLTOP SECURITIES
Big Bear Lake, CA 92315
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CRD#: 2259618
MN
Professional summary
Michael Ross Natzic is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Big Bear Lake, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 8 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 9 and Series 10 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) Bear Valley Church; non-investment related; Big Bear Lake, CA; Church; Finance Chair; starting 1/1/2015; 3 hr/mo; and no time during securities trading hours. 2) DOVES of Big Bear Valley; non-investment related; Big Bear Lake, CA; domestic violence education and services; Vice-Chairman; starting 1/1/2003; 4 hr/mo; no time during securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Ross Natzic's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Ross Natzic'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
December 1, 2021 - Present
HILLTOP SECURITIES INC.
Office #1: 42605 Moonridge Rd, Big Bear Lake, CA 92315RIA
BD
CRD#: 6220
Big Bear Lake, CA
Current
December 1, 2021 - Present
HILLTOP SECURITIES INC.
Office #1: 42605 Moonridge Rd, Big Bear Lake, CA 92315RIA
BD
CRD#: 6220
Big Bear Lake, CA
Past
November 25, 2013 - December 1, 2021
D.A. DAVIDSON & CO.
RIA
CRD#: 199
BIG BEAR LAKE, CA
Past
November 25, 2013 - December 1, 2021
D.A. DAVIDSON & CO.
BD
CRD#: 199
BIG BEAR LAKE, CA
Past
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
RIA
CRD#: 168622
BIG BEAR LAKE, CA
Past
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
BD
CRD#: 168622
BIG BEAR LAKE, CA
Past
March 26, 2013 - November 4, 2013
CROWELL, WEEDON & CO.
RIA
CRD#: 193
BIG BEAR LAKE, CA
Past
July 1, 2011 - November 4, 2013
CROWELL, WEEDON & CO.
BD
CRD#: 193
BIG BEAR LAKE, CA
Past
November 30, 2006 - June 30, 2011
STONE & YOUNGBERG LLC
BD
CRD#: 795
BIG BEAR LAKE, CA
Past
June 18, 2002 - December 6, 2006
THE SEIDLER COMPANIES INCORPORATED
BD
CRD#: 3911
BIG BEAR LAKE, CA
Past
March 9, 2002 - July 2, 2002
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
June 17, 1997 - March 9, 2002
SUTRO & CO. INCORPORATED
BD
CRD#: 801
SAN FRANCISCO, CA
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(12/1/2021)
RR
Alaska(12/1/2021)
RR
Arizona(12/1/2021)
IAR
Arizona(4/29/2022)
RR
Arkansas(12/1/2021)
IAR
Arkansas(7/18/2023)
RR
California(12/1/2021)
IAR
California(12/1/2021)
RR
Colorado(12/1/2021)
IAR
Colorado(4/18/2022)
RR
Connecticut(12/1/2021)
RR
Delaware(12/1/2021)
RR
District of Columbia(12/1/2021)
RR
Florida(12/1/2021)
RR
Georgia(12/1/2021)
RR
Hawaii(12/1/2021)
RR
Idaho(12/1/2021)
RR
Illinois(12/1/2021)
RR
Indiana(12/1/2021)
RR
Iowa(12/1/2021)
RR
Kansas(12/1/2021)
RR
Kentucky(12/1/2021)
RR
Louisiana(12/1/2021)
RR
Maine(12/1/2021)
RR
Maryland(12/1/2021)
RR
Massachusetts(12/1/2021)
RR
Michigan(12/1/2021)
RR
Minnesota(12/1/2021)
RR
Mississippi(12/1/2021)
RR
Missouri(12/1/2021)
RR
Montana(12/1/2021)
RR
Nebraska(12/1/2021)
RR
Nevada(12/1/2021)
IAR
Nevada(6/27/2023)
RR
New Hampshire(12/1/2021)
RR
New Jersey(12/1/2021)
RR
New Mexico(12/1/2021)
RR
New York(12/1/2021)
IAR
New York(4/19/2022)
RR
North Carolina(12/1/2021)
RR
North Dakota(12/1/2021)
RR
Ohio(12/1/2021)
IAR
Ohio(8/14/2023)
RR
Oklahoma(12/1/2021)
RR
Oregon(12/1/2021)
RR
Pennsylvania(12/1/2021)
RR
Puerto Rico(12/1/2021)
RR
Rhode Island(12/1/2021)
RR
South Carolina(12/1/2021)
RR
South Dakota(12/1/2021)
RR
Tennessee(1/27/2025)
RR
Texas(12/1/2021)
IAR
Texas(12/1/2021)
RR
Utah(12/1/2021)
IAR
Utah(6/22/2023)
RR
Vermont(12/1/2021)
RR
Virginia(12/1/2021)
RR
Washington(12/1/2021)
RR
West Virginia(12/1/2021)
RR
Wisconsin(12/1/2021)
RR
Wyoming(12/1/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/4/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product 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#: 6220Big Bear Lake, CA 92315TRUST BUT VERIFY
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