Peter G. Cappos

HILLTOP SECURITIES

Sherman Oaks, CA 91403

Some features on this profile are disabled

CRD#: 2445714

Professional summary

Peter George Cappos is a registered financial advisor currently at HILLTOP SECURITIES INC. located in Sherman Oaks, California.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Peter has worked at 2 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 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) Senior Concerns - Not Investment Related - Thousand Oaks, CA - Non-Profit organization serving senior citizens and respective families - Board Member - Since 8/23/2018 - 1-2 hours/mo during business hours - 2-3 hours/mo during non-business hours - Will volunteer and participate in board meetings

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter George Cappos's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Peter George Cappos's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 21, 2008 - Present

HILLTOP SECURITIES INC.

Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403

RIA

CRD#: 6220

Sherman Oaks, CA

Current

October 21, 2008 - Present

HILLTOP SECURITIES INC.

Office #1: 15301 Ventura Blvd Building B, Suite 410, Sherman Oaks, CA 91403

RIA

CRD#: 6220

Sherman Oaks, CA

Past

February 7, 2003 - January 21, 2009

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

BEVERLY HILLS, CA

Past

March 2, 1994 - January 21, 2009

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, 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)

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.

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

Alabama
(7/6/2012)

Alaska
(11/18/2021)

Arizona
(10/21/2008)

Arkansas
(11/18/2021)

California
(10/21/2008)

IAR

California
(10/21/2008)

Colorado
(10/21/2008)

IAR

Colorado
(2/20/2020)

Connecticut
(7/6/2012)

Delaware
(7/6/2012)

District of Columbia
(7/6/2012)

Florida
(7/6/2012)

Georgia
(7/6/2012)

Hawaii
(6/6/2012)

Idaho
(7/6/2012)

Illinois
(10/21/2008)

Indiana
(7/20/2020)

Iowa
(5/5/2010)

Kansas
(7/6/2012)

Kentucky
(11/18/2021)

Louisiana
(7/6/2012)

Maine
(3/3/2014)

Maryland
(7/6/2012)

Massachusetts
(8/3/2009)

Michigan
(7/6/2012)

Minnesota
(7/6/2012)

Mississippi
(9/3/2019)

Missouri
(7/6/2012)

Montana
(7/6/2012)

Nebraska
(3/3/2014)

Nevada
(7/27/2009)

New Hampshire
(7/6/2012)

New Jersey
(7/6/2012)

New Mexico
(7/6/2012)

New York
(7/6/2012)

North Carolina
(7/6/2012)

North Dakota
(7/6/2012)

Ohio
(7/6/2012)

Oklahoma
(7/6/2012)

Oregon
(7/6/2012)

Pennsylvania
(7/6/2012)

Rhode Island
(7/6/2012)

South Carolina
(7/6/2012)

South Dakota
(7/6/2012)

Tennessee
(7/6/2012)

Texas
(10/21/2008)

Utah
(10/16/2014)

Vermont
(7/6/2012)

Virginia
(7/6/2012)

Washington
(10/21/2008)

IAR

Washington
(6/21/2023)

Wisconsin
(6/29/2012)

Wyoming
(7/6/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/16/2002

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/22/2000

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

SRO Registrations

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)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HILLTOP HORIZON PROGRAM BROCHURE 11/12/2025 (11/12/2025)

HILLTOP WRAP BROCHURE 08/29/2025 (8/29/2025)

HILLTOP FIRM BROCHURE 08/29/2025 (8/29/2025)

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	Cover Page	Report
07/26/2024	Cover Page	Report
07/20/2023	Cover Page	Report

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.

Similar Advisors

Jon Neuhaus

MORGAN STANLEY

IAR

El Segundo, CA

John Powell

EQUITABLE ADVISORS, LLC

IAR

Los Angeles, CA

Danielle Barrios

MORGAN STANLEY

IAR

Beverly Hills, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Peter G. Cappos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter George Cappos's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Peter George Cappos's CRS (Customer Relationship Summary).

Certified licenses

Experience

HILLTOP SECURITIES INC.

M.L. STERN & CO., LLC.

M.L. STERN & CO., LLC.

Primary Firm SEC Registration

HILLTOP SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/22/1994

Series 52TO

Date: 9/25/2025

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/1/1994

Series 53

Date: 9/16/2002

Series 24

Date: 8/22/2000

FINRA

Nasdaq Stock Market

New York Stock Exchange

Current Firm

HILLTOP SECURITIES INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

HILLTOP SECURITIES INC.

TRUST BUT VERIFY

Similar Advisors